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