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Proofpoint Intelligent Compliance: Why AI and ML Matter in People and Data Protection

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Our lives and work cultures are forever changed now that so many people are working and interacting digitally—and the velocity of business and the volume of corporate data we generate are growing exponentially. Cyber threat actors are taking advantage of these trends—and insider risks are rising, too, due to negligence and malicious intent.

In this environment, most organisations have made a cloud-first decision to handle the immediacy of assets and risks. But leaders still need help translating petabytes of data into predictive insights that can help accelerate and protect the business. Compliance teams suffer from the challenge of maintaining a compliant posture with regulators and doing so cost-effectively. And legal and IT teams face similar struggles when facing audits and corporate investigations—needing to balance information efficacy and time-sensitivity.

Proofpoint recognises that our customers are dealing with these challenges, which is why we’re excited to announce the launch of the Proofpoint Intelligent Compliance platform. At the heart of the artificial intelligence (AI)-based platform is our ability to apply machine learning (ML) to the most critical organisational data workloads collected and stored by Proofpoint. That includes user- and group-level files, emails, messaging app communications, social media, video, audio, text messaging, and more.

Through hundreds of detection scenarios with proprietary confidence-scoring models, Proofpoint has helped existing customers to analyse data and reduce false positives by up to 84%. The efficacy of our AI and ML capabilities allows our customers to detect regulatory flags quickly and stay on top of emerging organisational risks, so they don’t become significant issues.

The platform’s ML engine and its associated models can analyse communications content for both context and sentiment (including images and emoji), and it can rationalise actions and past activities to predict behaviours. The Proofpoint Intelligent Compliance platform includes:

  • Proofpoint Capture: Modernise data collection from the most popular and critical communications collaboration platforms.
  • Proofpoint Patrol: Ensure end-to-end compliance and reputation protection from employee social media accounts by monitoring, remediating and reporting on social media policy violations at scale with intelligent classifiers, automated workflows and intuitive reporting.
  • Proofpoint Track: Gain complete visibility into your capture stream, so you can ensure that collected communications are received by downstream services such as repositories and supervision tools.
  • Proofpoint Archive: Simplify storage, search, legal discovery, supervisory, and end-user data access through a cloud-first archive that provides a secure and scalable central repository.
  • Proofpoint Discover: Make e-discovery and case management easy with built-in, high-performance search, advanced dashboards and visualisations, no-cost export, and legal hold.
  • Proofpoint Supervision: Satisfy corporate and regulatory compliance requirements by supervising regulated employees, leveraging hundreds of advanced detection scenarios to detect timely communications risks.
  • Proofpoint Automate: Apply market-leading ML to your security and compliance stack to help significantly reduce false positives during data collection, monitoring, search, discovery and supervisory activities.


Examples of detection categories for intelligent compliance

Here’s an overview of some scenarios that the ML engine in the Proofpoint Intelligent Compliance platform can scan for to help your organisation surface potential issues and risks:

Business conduct

Business conduct scenarios are designed to detect internal or outbound communications from company associates that may indicate inconsistencies with how products or services are marketed or presented. The objective is to detect occurrences of public misrepresentation, which may cause legal, regulatory or reputational risk.

Similar scenarios are available to predict corrupt practices where the Proofpoint detection engine scans communications of monitored persons for language indicative of activities such as bribes or quid-pro-quo with the goal of detecting potentially illegal activity before it escalates.

Employee conduct

Examples of employee conduct scenarios include scanning communications for coercion, harassment, discrimination, collusion, offensive language, financial distress, insider information such as rumours, and non-public intellectual property, with the goal of detecting risks and taking remediating actions.

Market conduct and regulatory risks

Market conduct and regulatory risk scenarios include the detection of insider trades, wash trades, advance trades, unauthorised trades, money laundering and much more, as guided by the rules set forth by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other global and regional regulatory bodies.

Data loss

Data loss scenarios include the detection of addresses, client privilege, corporate contracts, protected health information (PHI), payment card industry (PCI) data, personally identifiable information (PII), security labels, confidential trade data, sales data, and data related to mergers and acquisitions (M&A) discussions.

Legal risks

Legal risk scenarios include potential ethical issues, intent to resign, information destruction, communications with regulatory and government authorities, whistleblowers, and litigation threats.

Examples of techniques for intelligent compliance detection

The following are a few examples of detection techniques your organisation can apply using the Proofpoint Intelligent Detection platform:

  • Computer vision: Leverage the latest computer vision techniques to detect images that imply ulterior meaning or implicit promise of reward, such as financial gains.

  • Natural language processing (NLP): Take advantage of the latest advancements in NLP, such as security classifiers to predict future incidents and risks when used in communications.

  • Message classification and sentiment detection: Enhance detection capabilities and narrow the scope of supervision to only those electronic communications that require investigation

Stay on top of compliance and organisational risks more effectively

Proofpoint is here to help cloud-first organisations struggling with the need to review growing volumes of data and protect their compliance and legal posture while also managing higher costs. We set out to transform today’s compliance world—with proven data efficacy and reduced costs through automation. Unleash the power of your data with Proofpoint Intelligent Compliance.

Download our solution brief to learn more about the AI-based Proofpoint Intelligent Compliance platform.