This online help page is dedicated to the SurgeONE.ai E-Comms Surveillance page and its associated functionalities. Electronic communications (e-comms) surveillance refers to the monitoring and analysis of digital communications, such as - emails, chats, video calls, and mobile messages to detect potential regulatory violations, misconduct, threats, or insider trading. It is a critical component of modern compliance programs, especially in regulated industries like finance, asset, or wealth management, where communication oversight is asked for by designated regulatory authorities.
The accessibility and functionalities of the different sections of this page are dependant on the role based access controls / permissions set for the logged-in user. For more details refer to the Roles online help.
1. Navigating to the E-Comms Surveillance
Click on the E-Comms Surveillance menu option of the left panel.
Fig: 1 - E-Comms Surveillance sub-menu option under the Settings menu option
Clicking on this menu option loads the E-Comms Surveillance page showing the list of all email related entries in real time, for flagging risky or non-compliant language in the email threads. Here is the view of the loaded page.
Fig: 2 - E-Comms Surveillance
Pre-Requisites
Please note the following points which serve as the pre-requisites of the E-Comms Surveillance module:
- SurgeONE E-Comms Surveillance module only supports Microsoft Exchange server emails. It does not support Gmail and any other email exchange servers. If any email servers except for Microsoft Exchange is setup, then the E-Commms surveillance will NOT get triggered in the SurgeONE AI workflow.
- The system avails the EWS (Exchange Web Services) API to access emails from the Exchange Server.
- To enable this, certain configuration steps must be completed in the Microsoft Exchange portal to authorize EWS access.
To understand more about this, please refer to this link. - The above-mentioned configuration is already set up for the Kovair Exchange Server.
- To be able to scan a created firm's own emails, the required EWS configuration must be completed on their Exchange Server by that firm's IT administrator or department.
2. Understanding the various elements of the E-Comms Surveillance page
SurgeONE leverages advanced AI to deliver real-time, on-demand, intelligent surveillance across multiple communication channels. It empowers compliance teams to scale effortlessly while maintaining precision and control.
Refer to the following screenshot which is marked with numerical values that correspond to the below stated points.
Fig: 3 - Understanding the various elements of the E-Comms Surveillance page
- Search options to filter out results
- Grid view column populates the loaded or filtered result(s)
- + Create E-Comms Surveillance button to create a new entry
- Vertical ellipsis icon beside + Create E-Comms Surveillance button to customize the grid view columns
- ACTION column contains the toggled row-context menu option(s)
- Pagination options are provided at the bottom to control the page items limit and to navigate to other page entries
NOTE: The following sub-sections elaborate further to the above-stated points.
2.1. Searching for E-Comms Surveillance entries
Here is the view of filters section:
Fig: 4 - Search bar along with the refresh icon
You can use the search bar to enter text and find matching results.
Based on the text entered, matching results are listed out.
Fig: 5 - Filtered results
Click on refresh icon to remove any executed search query.
Fig: 6 - Option to refresh the list by removing any search input text
2.2. Understanding the grid view
The grid view displays all e-comms surveillance entries. The following columns are present:
Fig: 7 - E-Comms Surveillance grid view
- Title: Displays the label of the e-comms surveillance entry, which was entered in the Title field of the E-Comms Surveillance Form Details tab during its creation
- Status: Displays the current status of the entry to indicate whether it is yet to be started, in progress, already completed or mail not found
- Start Date: Displays the date of beginning of the surveillance, which was set in the Start Date field of the E-Comms Surveillance Form Details tab during its creation. It is the date from which the emails are to be filtered.
- End Date: Displays the date of conclusion of the surveillance, which was set in the End Date field of the E-Comms Surveillance Form Details tab during its creation. It is the date till when the emails are to be filtered.
- Description: Displays the description of the e-comms surveillance entry, which was entered in the Description field of the E-Comms Surveillance Form Details tab during its creation. Since this is an optional field, the value may or not be present in the grid view.
- Sampling Percentage: Displays the chosen percentage, which was selected as the Sampling Percentage dropdown field option of the E-Comms Surveillance Form Details tab during its creation. Selectable options are 10%, 25%, 50%, 75% and 100%.
- Folder Name: Displays the chosen option of the Folder Name dropdown field of the E-Comms Surveillance Form Details tab during its creation. Selectable options are Inbox and Sent Items.
- Action: Contains the vertical ellipsis
icon which can be used to toggle the row-context menu option(s)
2.3. Creating a new E-Comms Surveillance entry
Click on the + Create E-Comms Surveillance button at the top right, to proceed to create a new E-Comms Surveillance entry for your organization.
Fig: 8 - + Create E-Comms Surveillance button
2.3.1. Step #1 - Providing Form Details
The following page loads. Enter form-specific details here. Perform the following activities to provide necessary details in the Form Details tab:
Fig: 9 - Form Details tab view
- Enter an appropriate name for the new E-Comms Surveillance activity in the Title field. Validation is employed in the name label as it is a mandatory field.
- The Status field is disabled and set as Scheduled by default.
- Choose the date on which the E-Comms Surveillance activity is to be scheduled to begin from. Click on the Start Date field to load the calendar and make a date selection accordingly. You can only select an upcoming calendar date and not a past date.
- Similarly, choose the date on which the E-Comms Surveillance activity is intended to be completed. Click on the End Date field to load the calendar and make a date selection accordingly. You can only select a past date or the current date, not any upcoming calendar date and the date must be later than the start date.
- You may enter a suitable description in the Description field. It is an optional field.
- Select a dropdown option of the Sampling Percentage dropdown field. It is a mandatory field. Selectable options are 10%, 25%, 50%, 75% and 100%.
- Select a dropdown option of the Folder Name dropdown field. It is a mandatory field. Selectable options are Inbox and Sent Items.
- Click on the Next button (at the bottom right) to go to the employee selection stage.
Fig: 10 - Setting the Start Date field
Fig: 11 - Setting the option of the Sampling Percentage dropdown field
Fig: 12 - Setting the option of the Folder Name dropdown field
Fig: 13 - Next button to proceed to the second tab
NOTE: You can proceed only if all the field validations are met on this page. Otherwise, the system will prompt appropriate validation tooltips below the field(s).
Fig: 14 - Field validations
2.3.2. Step #2 – Selecting Employee(s) in User Details tab
In the second stage, which is titled as User Details, you can select a created user (who has necessary permissions granted).
Fig: 15 - Field validations
- Click on the checkbox to make your selection. Multiple user selections are allowed. The checkbox at the top can be used to select all of the listed users at one go.
- Click on the Submit button (at the bottom right) to create the E-Comms Surveillance entry.
- You will be redirected to the E-Comms Surveillance page. The created entry can be found listed on the grid view. A success notification gets triggered at the top.
Fig: 16 - Employee Selection
Validation is employed on the checkbox selection. At least one user must be selected before clicking on the Submit button, otherwise the system will not create the entry and the following tooltip will get displayed beside the button.
Fig: 17 - Employee selection validation
Fig: 18 - View of the created entry
NOTE:
- A system generated email will get triggered to the assigned user about the created entry.
- The status is initially set to AI Review in Progress. A View menu can be toggled by clicking on the vertical ellipsis icon under the Action column.
- A system generated email will get triggered to the assigned user after the created entry is reviewed by the AI.
- The status is updated to Completed. A View menu can be toggled by clicking on the vertical ellipsis icon under the Action column.
Fig: 19 - Email triggered to the email address of the assigned user
Fig: 20 - Initial AI Review in Progress status view along with the toggled menu option
Fig: 21 - Email triggered to the email address of the assigned user on AI review completion
Fig: 22 - Completed status view along with the toggled View menu option
2.4. Customizing the grid view columns
To alter the columns of the view, you can click on the vertical ellipsis icon at the right of the + Create E-Comms Surveillance button.
Fig: 23 - Customizing the applicable columns
The following selectable items (column labels) are displayed in the loaded modal window. Refer to the following table:
| Sl. No. | Column Label |
|---|---|
| 1 | Title |
| 2 | Status |
| 3 | Start Date |
| 4 | End Date |
| 5 | Description |
| 6 | Sampling Percentage |
| 7 | Folder Name |
You can customize and control the columns displayed in the grid view. This feature enables you to tailor the grid view to show data which enhance user experience by providing flexibility and control, making it easier to focus on the most pertinent details. The following modal window loads to display the list of columns and its current selection. Make checkbox selections to set the view accordingly. Click on the Save button to store changes made.
Fig: 24 - Customizing the applicable columns
NOTE:
- You cannot modify the greyed-out checkboxes against any column label, such as Title or Status. This ensures that these columns are always displayed in the grid view.
- If you click on the Cancel button, then any changes made to the checkbox selections are not stored and the modal window closes.
- If you click on the Reset to System button, then the checkbox selections are restored to the default state.
Fig: 25 - Cancel button
Fig: 26 - Reset to System button
2.5. Using the View context menu option of the Action column
Click on the vertical ellipsis icon against any displayed row entry of the grid view to toggle the row-context menu option labeled as View.
After clicking on it, the following modal window loads titled as E-Comms Surveillance Request Details.
Fig: 27 - Loading the E-Comms Surveillance Request Details modal window
The following information are displayed under the Schedule Information section:
- Title: Displays the label of the e-comms surveillance entry, which was entered in the Title field of the E-Comms Surveillance Form Details tab during its creation
- Status: Displays the current status of the entry to indicate whether it is yet to be started, in progress (under AI review) or already completed. By default, it is set to Scheduled.
- Start Date: Displays the date of beginning of the surveillance, which was set in the Start Date field of the E-Comms Surveillance Form Details tab during its creation
- End Date: Displays the date of conclusion of the surveillance, which was set in the End Date field of the E-Comms Surveillance Form Details tab during its creation
- Description: Displays the description of the e-comms surveillance entry, if it was entered in the Description field of the E-Comms Surveillance Form Details tab during its creation. Since this is an optional field, the value may or not be displayed in the modal window.
- Sampling Percentage: Displays the chosen percentage, which was selected as the Sampling Percentage dropdown field option of the E-Comms Surveillance Form Details tab during this E-Comms entry creation
- Folder Name: Displays the chosen option of the Folder Name dropdown field of the E-Comms Surveillance Form Details tab during this E-Comms entry creation
The following information are displayed under the Invited Employees section:
- NAME: Displays the full name of the assigned user(s)
- EMAIL: Displays the linked email address of the selected user(s)
- LATEST REVIEW STATUS: Displays the most recent status of the entry
- TOTAL MAILS: Displays the count of the scanned emails in the specified folder
- ACTION(S): Contains the vertical ellipsis icon which can be used to toggle the context menu option labeled as View Details. More information regarding this feature has been elaborated in the following sub-section.
A refresh icon is present beside the Invited Employees section header. Click on it to refresh the displayed data of this section.
2.5.1. Using the View Details context menu option of the E-Comms Surveillance page
Click on the vertical ellipsis icon under the ACTION(S) column, against any displayed row entry of the E-Comms Surveillance Request Details modal window to toggle the row-context menu option labeled as View Details.
Fig: 28 - Clicking on the View Details menu option
After clicking on it, the following modal window loads titled as Scanned Emails.
Fig: 29 - Scanned Emails modal window
Refer to the following screenshot which is marked with numerical values that correspond to the below stated points.
Fig: 30 - Understanding the various elements of the Scanned Emails modal window
- Search bar to filter out results, along with a refresh icon. Clicking on the refresh icon reloads the modal window grid view contents and displays a tooltip label as Data refreshed successfully beside the icon.
- Grid view column populates the loaded or filtered result(s)
- ACTION column contains the icons to download the document or view the AI review
- Pagination options are provided at the bottom to control the page items limit and to navigate to other page entries
- Export button to download a pdf copy of the grid view dataset, such as the email(s) scanned, AI assessment review summary, etc.
2.5.1.1. Performing search operation
You can enter text in the search bar to quickly find listed items. A refresh icon is present beside the search bar. Click on it to refresh the displayed data of this modal window.
Fig: 31 - Search bar and refresh icon
The following screenshot displays an executed search operation. The search operation occurs on all the field' data.
Fig: 32 - Search operation executed and displaying matching result
2.5.1.2. Understanding the grid data of E-Comms Surveillance modal window
The grid view displays the dataset related to the review operation. The following columns are displayed:
- Email - It displays the name of associated file as per the title of the email which is being reviewed or the review is completed by the AI. AI bundles all retrieved emails into a single file.
- AI Risk Score (10 -> 100) - It shows the value of the AI calculated score associated with regulatory compliance risk. The score is zero if there are no issues detected by the AI.
- Issue Count - Displays the count or number of issues detected by the AI
- Status - Shows the current status of the entry
- Processing Time (sec) - It is the time taken by the AI to perform assessment. It is zero when there are no issues encountered by the AI.
- Review Summary - Shows the AI feedback as a one-liner
- ACTION - This column contains icons to download the assessment or view the comprehensive AI feedback
2.5.1.3. Using the ACTION column icons of E-Comms Surveillance modal window
As mentioned above there are three icons displayed under the ACTION column. Click on the former (Download EML File) icon to download a local copy of the associated email's .eml file.
Fig: 33 - Downloading a local copy of the .eml file
Click on the Review Scan Results (displayed as binoculars) icon to view the comprehensive AI assessment. Clicking on it loads a modal view with the AI generated Review Summary, Issue On Line, Justification and Suggested Remediation.
Fig: 34 - Inactive icon for viewing AI assessment feedback
NOTE: It may so occur that there are no issues detected by the AI, In that case the Issue Count column will have a zero entry. Since no issues are detected, there exists no AI operation or feedback and the Review Scan Results icon is disabled.
Fig: 35 - Inactive icon for viewing AI assessment feedback
Click on the Download Review (displayed as pdf) icon to view the comprehensive AI assessment related that particular email.
Fig: 36 - View of downloaded pdf content after clicking on the Download Review icon
2.5.1.4. Exporting AI Reviews
Click on the Export button at the bottom right to download a PDF copy of the comprehensive AI assessment.
Fig: 37 - Export button to download pdf copy of AI assessment and feedback
Here is the view of the opened PDF file.
Fig: 38 - View of the AI Reviews for E-Comms Surveillance pdf content
2.6. Pagination
Pagination options are provided at the bottom-left, to navigate through multiple pages of entries, which populate the grid view as per the selected count of items per page.
Fig: 38 - Pagination options