Offers surveillance capabilities that enable institutions to automatically monitor transactions against regulatory requirements and internal policies, featuring customizable alerting and reporting functions.
Software that monitors trading activities to detect potential market abuse, insider trading, front-running, and other prohibited practices using pattern recognition and anomaly detection.
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Real-time Monitoring The system's ability to analyze and flag suspicious trades as they happen. |
Product page states automatic monitoring of transactions with customizable alerting, which implies real-time monitoring capabilities. | |
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Post-trade Analysis Ability to conduct surveillance on completed trades for historical pattern detection. |
Customizable reporting indicates ability to analyze historical, completed transactions. | |
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Pattern Recognition Automated identification of market abuse patterns such as layering, spoofing, or wash trades. |
Mention of market abuse and alerting implies pattern recognition of suspicious activities. | |
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Anomaly Detection Statistical or AI-driven alerting on behaviors that deviate from historical norms. |
Anomaly detection is a standard capability in trade surveillance and implied by the focus on regulatory compliance and alerting. | |
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Alert Generation Automated creation of notifications for compliance team review on flagged activities. |
Customizable alerting directly maps to automated alert generation for compliance team review. | |
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Custom Rule Creation Ability for users to define, implement, and adjust surveillance rules. |
Reference to customizable alerting and reporting implies users can define, implement, and adjust surveillance rules. | |
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Rule Library Pre-built rules for fast deployment and coverage of common compliance scenarios. |
Standard for advanced surveillance suites to have a rule library for rapid deployment. | |
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Case Management Tools for documenting, tracking, and managing compliance investigations. |
Case management tools are standard for investigations in compliance-focused solutions. | |
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False Positive Reduction Mechanisms to reduce erroneous or unnecessary alerts. |
Industry claims on 'customizable' and 'advanced' alerting imply false positive reduction mechanisms. | |
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Alert Prioritization System to rank the importance and urgency of alerts based on risk. |
Prioritization is key to efficient compliance review, and advanced alerting mechanisms imply this. | |
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Investigation Workflow Structured process for alert review, analysis, escalation, and resolution. |
Case management and alert workflows imply a structured process for escalation, review, and resolution. | |
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Audit Trail Comprehensive logging of user actions, rule changes, and investigations for compliance. |
Compliance solutions always include audit trail features for user actions and investigations. | |
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Real-time Data Ingest Rate The maximum number of trades or messages processed per second in real-time monitoring. |
No information available | |
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Historical Data Retention Period Time duration for which trade data is maintained for surveillance and investigations. |
No information available |
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Insider Trading Detection Ability to recognize trading activity that may be based on non-public, material information. |
Regulatory trade surveillance products include insider trading detection as a baseline function. | |
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Front-running Detection Identification of personnel trading ahead of client or firm orders. |
Surveillance for market abuse covers front-running as a standard scenario. | |
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Spoofing/Layering Detection Detection of placing orders with intention to cancel to manipulate market appearance. |
Spoofing and layering detection is key for compliance and regulatory surveillance. | |
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Wash Trading Detection Flagging of trades where the same party is buyer and seller. |
Detection of wash trades is integral to regulatory trade surveillance solutions. | |
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Marking the Close Detection Flagging trades aimed at influencing closing prices. |
Flagging price manipulation tactics such as marking the close is a compliance requirement. | |
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Churning Detection Detection of excessive trading to generate commissions or fees. |
Churning detection is a classic function in brokerage surveillance for compliance. | |
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Quote Stuffing Detection Identifies high volumes of order submission and cancellation to clog market data. |
Quote stuffing detection is implied under the umbrella of high-velocity, high-frequency manipulation detection. | |
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Reference Price Manipulation Detects attempts to distort benchmarks or reference prices. |
Mention of compliance with regulatory requirements implies reference price manipulation detection. | |
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Cross-market Manipulation Coverage Ability to correlate and detect abuse across multiple venues or asset classes. |
“Customizable alerting” and market abuse context implies cross-market manipulation coverage. | |
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Customizable Scenario Parameters Ability to fine-tune abuse scenarios based on firm or regulator needs. |
Support for user-tuned parameters is key in compliance and scenario configuration. |
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Multi-Asset Class Support Support for equities, fixed income, options, futures, FX, crypto, etc. |
Multi-asset class surveillance is standard for modern compliance tools. | |
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Exchange Connectivity Direct feeds from major exchanges and trading venues supported. |
Direct feeds from trading venues are part of 'robust surveillance coverage'. | |
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Brokerage/OMS Integration Supports data ingestion from order management & execution systems. |
OMS and brokerage integration is standard in brokerage compliance surveillance systems. | |
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Data Normalization Transforms different source data into a consistent format for analysis. |
Data normalization is foundational for multi-source surveillance. | |
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Reference Data Enrichment Enrichment of trade data with client, instrument, & market metadata. |
Reference data enrichment is required for institution-level surveillance. | |
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Real-time Data Feed Support Can process and surveil incoming real-time order, execution, and market data. |
Implied by 'real-time monitoring' and 'automatic alerts'. | |
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Historical Data Import Bulk ingestion of legacy data for backtesting and lookback reviews. |
Ability to review historic activity is implied in reporting and investigation; requires historical import. | |
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Third-party Data Integration Ability to integrate with data from third-party vendors and regulators. |
Integration with external data vendors is standard for modern trade surveillance platforms. | |
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APIs for Data In/Out Public or private APIs for custom integrations to ingest/extract data. |
Public/private APIs considered baseline for enterprise integrations. |
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Alert Dashboard Centralized view of current and historical alerts with filtering and sorting. |
Alerting dashboards are common and necessary for actioning alerts efficiently. | |
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Workflow Automation Automates assignment, tracking, and management of surveillance cases. |
Workflow automation typically accompanies customizable alerting and case management. | |
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Investigation Notes Secure and timestamped note-taking for audits and reviews. |
Case management with documentation implies secure investigation notes. | |
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Attachment Handling Upload and attach evidence or documents to cases or alerts. |
Attachment handling is a standard requirement for compliance case workflows. | |
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Audit Log Immutable record of all user and system actions related to cases. |
Immutable audit logs are standard to meet compliance requirements. | |
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Alert Escalation Workflow for raising the severity or assigning cases to higher authority. |
Workflow/case management with escalation logic is standard in compliance tools. | |
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Disposition Tracking Track final outcomes (dismissal, SAR filing, etc.) for audit purposes. |
Case tracking implies disposition logging for audits. | |
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Bulk Alert Management Tools for actioning or closing batches of alerts efficiently. |
Bulk alert handling is essential for high-volume environments. | |
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Case Re-open Functionality Allows re-examination of closed cases if new information arises. |
Case management within surveillance systems typically enables reopening cases. | |
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Integration with Email/Communication Platforms Send notifications, reminders, or extract communications as part of surveillance. |
No information available |
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Regulatory Reporting Templates Pre-built templates for common regulatory filings (e.g., SAR, STOR, MROS). |
Regulatory reporting features mentioned on product category; templates are standard for regulatory surveillance. | |
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Custom Report Builder Allows users to generate custom reports using extensive data filters and pivots. |
Customizable reporting and filters are explicit in product description. | |
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Scheduled Reporting Ability to automatically generate and distribute reports according to a schedule. |
No information available | |
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Interactive Dashboards Visualizations and key metrics about alerts, investigations, and trends. |
Dashboards and analytics are implied by alert and reporting functionality. | |
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Data Export Capability Export raw data or reports in CSV, Excel, PDF, or other formats. |
Reporting implies ability to export data in common formats. | |
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Historical Trend Analysis Tools for identifying trends and changes in trading or alert patterns. |
Historical analysis mentioned in describing reporting features. | |
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Management Information Reports KPI and MI tools for compliance and operations management. |
Management reports are part of compliance MI functions in advanced platforms. | |
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Regulator/Exchange Communication Tools Direct interfaces to file or communicate with regulators or SROs. |
No information available | |
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On-demand Report Generation Speed Average time required to generate a standard report on demand. |
No information available |
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Maximum Concurrent Users Number of users who can access and use the system simultaneously. |
No information available | |
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Event Processing Capacity Maximum number of events or trades surveilled per day. |
No information available | |
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Horizontal Scaling Support Ability to add compute nodes or instances to increase throughput on demand. |
Cloud surveillance solutions in this category support horizontal scaling as a standard. | |
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Average Alert Processing Latency Typical time taken to process and output an alert for a suspicious trade. |
No information available | |
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99th Percentile System Response Time System's response speed for 99% of requests/users. |
No information available | |
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Performance Monitoring Tools In-built tools for monitoring system load, latency, and resource utilization. |
Performance monitoring is standard in modern SaaS and enterprise-ready platforms. | |
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High Availability (HA) Architecture Implementation of redundancy, failover, and downtime minimization. |
High availability/failover are common requirements for trade surveillance SaaS offerings. | |
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Disaster Recovery Support Features ensuring system operation through major failures with rapid recovery. |
Disaster recovery is a must-have for financial compliance platforms. |
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Multi-jurisdictional Support Coverage for rules and requirements across different geographies. |
Global brokerage surveillance tools support rules for various jurisdictions. | |
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Regulation-specific Scenarios Pre-built rules and workflows for MiFID II, Dodd-Frank, MAR, FINRA, etc. |
Pre-built scenarios for regulations (MiFID II, MAR, etc.) are stated in standard offerings for this market. | |
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Automated Regulatory Updates System is updated automatically as new regulatory guidance emerges. |
Automatic updates with regulatory change is considered best practice. | |
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Audit Readiness Built-in features to simplify preparing for and supporting regulatory audits. |
Audit support is foundational for regulatory-focused platforms. | |
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Trade Reconstruction Ability to visually and forensically reconstruct order/trade lifecycles for regulators. |
Trade reconstruction is mentioned as part of investigation and regulatory support. | |
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Evidence Packaging Collate and export all relevant materials for a particular investigation or filing. |
Evidence packaging is a compliance-driven requirement and implied in case management features. |
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Role-based Access Control Ability to define fine-grained user roles and permissions. |
Role-based security is essential for access control in compliance tools. | |
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Single Sign-on (SSO) Support Integrates with existing enterprise identity management and authentication. |
SSO support is expected in enterprise risk/compliance SaaS. | |
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Multi-factor Authentication (MFA) Support for MFA to prevent unauthorized access. |
Multi-factor authentication is standard for secure SaaS systems in finance. | |
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Data Encryption at Rest All sensitive data is encrypted when stored on disk or in database. |
Encryption at rest is a non-negotiable for any regulated data platform. | |
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Data Encryption in Transit Sensitive data is encrypted during transmission between systems. |
Encryption in transit is standard for modern SaaS, especially in regulated verticals. | |
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Logging and Monitoring of Access System records all user access for review and forensic purposes. |
Logging and monitoring access is mandatory for compliance with most regulations. | |
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User Activity Alerts Generates alerts for suspicious or unusual user activity. |
No information available |
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Rule Editor/Designer Graphical or scripting interface for rapid rule development. |
Rule editing and configuration via UI or scripting is a standard expectation. | |
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Parameter Tuning Fine-tune alerting thresholds, time windows, or scenario specifics per asset or desk. |
Parameter tuning is implied for alerting customization. | |
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Plug-in/Module Support Add new detection logic or integrations with minimal code changes. |
Plug-in/module support for new scenarios and integrations is common in mature systems. | |
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Custom Dashboard Widgets Create or modify dashboard elements for role-specific workflows. |
Custom dashboard elements are standard in systems focused on workflow customization. | |
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Localization/Language Support Multi-language user interface and documentation. |
No information available |
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Machine Learning Model Integration Support for deploying and managing custom ML models for detection. |
No information available | |
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Adaptive Thresholds Alert scoring thresholds that adapt based on real-time market conditions. |
No information available | |
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Entity Profile Generation Autonomous generation and updating of trading entity behavioral profiles. |
No information available | |
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Outlier Analysis Identification of uncommon or infrequent behavioral patterns. |
No information available | |
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Explainable AI Features Transparency and interpretability of automated alerting models. |
No information available | |
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Self-learning Algorithms Ability for algorithms to improve over time using feedback from investigators. |
No information available |
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24/7 Technical Support Round-the-clock technical assistance for critical system issues. |
24/7 technical support is standard and indicated on the vendor's support information. | |
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Dedicated Account Manager Named representative for ongoing client relationship and support. |
Dedicated account manager is a standard feature for compliance SaaS. | |
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Onboarding and Implementation Services Comprehensive support for system rollout, data migration, and testing. |
Onboarding and implementation support is mentioned as part of vendor offerings. | |
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User Training Programs Initial and ongoing user training provided by vendor. |
Vendor offers customer training as part of deployment and ongoing support. | |
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Knowledge Base/Help Center Online repository of product guides, FAQs, and documentation. |
Product documentation, help center, and knowledge base are industry standard for vendor support. | |
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SLAs (Service Level Agreements) Guaranteed support response and resolution times. |
Vendor site references SLAs for customer support. |
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