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Regulatory Technology Transformation

RegEdge was formed with one key goal in mind; to assist financial services firms in solving their most complex regulatory challenges through innovative solutions delivered in a lean and efficient manner

Our Services
 
Trade and Communications Surveillance
Trade and Communications Surveillance

Enable firms to effectively capture, store, surveil and supervise firm communications (email, IM, Social media, voice) and trading activity in a holistic manner to detect instances of fraud, manipulation, inappropriate behavior, sales practices, conflict of interest and other risks

Trade and Communications Surveillance

Enable firms to leverage artificial intelligence (AI) to effectively capture, store, surveil and supervise firm communications (email, IM, Social media, voice) and trading activity in a holistic manner to detect instances of insider trading,  fraud, manipulation, inappropriate behavior, sales practices, conflict of interest, trade life cycle reconstruction and other risks

Regulatory Trade

Reporting

Enable firms to accurately and completely report pre-trade, trade and post trade activity as per regulatory requirements in a timely fashion. This includes identifying and remediating issues with existing requirements (e.g. OATS, LOPR, Blue Sheets etc.) and assisting firms in defining and implementing solutions for new requirements (e.g. CAT)

 

Electronic Trading Control Framework

Enable firms to design and implement strong risk management controls and frameworks to prevent, detect, mitigate and report pre-trade (e.g. 15c3-5, HFT/ algo / model testing requirements), trade (e.g. RegNMS, RegATS, Best Execution) and post trade (e.g. 15c3-3, confirms) risks in near real time, thus introducing efficiencies across the trade life cycle