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Good Governance Needs Visibility

Trade & e-Comms Surveillance

Streamline and integrate your approach to market abuse compliance and risk

Who It Helps

Compliance Teams
Detect & monitor all trading and communications on one platform, with configurable and tailored alerts & centralised case management
Risk Teams
Ensure oversight, manage workflows, and demonstrate an effective compliance monitoring service
Senior Management
Build a streamlined approach to surveillance across the organisation, protect against regulatory inquiry, reduce operational overheads and avoid future violations.

How It Helps

Transparency

Ensure operational transparency with timely and accurate disclosures

Operational Efficencies

Combine powerful real-time search, surveillance and investigation tools to deliver operational efficiencies and reduced risk

Technology

Simplify Discovery 1
Create fast and efficient searches and increase the speed of discovery across all data sources and historical archives – market data, market news, trade lifecycle data (including orders, trades and positions), email, calendar, voice and chat.
Automate Detection & Monitoring 2
Customise or access pre-defined alerts mapped to key market abuse behaviours. Access live Watch Pages and Dashboards and receive instant notification of compliance signals and flags.
Access Pre-Trade And Trade Data 3
Seamlessly integrate order management, execution and portfolio management systems. Accurately reconstruct the lifecycle of a trade.
Manage Reporting 4
Access a full suite of exception-based reporting and create tailored reports on trends, patterns, alerts and violations for regulatory or audit purposes.
Secure & Immutable Storage 5
Benefit from scalable and secure storage in compliance with SEC, FINRA and ESMA guidelines. Ensure fast and efficient recovery and leverage long-term archiving in a high availability cloud-based environment.
Reference Data 6
Comprehensive sources of reference data for point-in-time analysis: Trade Ideas, Regulatory News Service (RNS), Insider Lists, Directorships, Merger & Acquisitions, Short Interest.

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