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Refinitiv Trade Surveillance from Refinitiv (LSEG)
Automated trade monitoring, market abuse detection, compliance reporting, and user-friendly dashboards for real-time analytics.
Product analysis by function
Trade Surveillance Systems for Risk & Compliance
Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
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Core Surveillance Capabilities
(11 Yes /11 Known /11 Possible features)
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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
Product explicitly offers market abuse detection as a headline capability (see product documentation and website). | |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
Refinitiv documentation and marketing materials specify automated insider trading detection as a core feature. | |
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Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
Front-running detection is listed within market abuse detection and surveillance scenarios on website resources. | |
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Wash Trade Detection Detection of self-trading or artificially generated trades. |
Wash trading is a standard market abuse pattern covered by the solution as confirmed by feature guides. | |
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Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders. |
Spoofing/layering (order book manipulation) recognized by the product and supported by detection models. | |
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Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives). |
Product supports surveillance across asset classes such as equities, fixed income, and derivatives (website). | |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
Custom rules and scenario tuning described in solution overview as available for firm-specific needs. | |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
Real-time monitoring capabilities are prominent in product portal, used for live analysis and alerting. | |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Historical data analysis and reconstruction are included for investigations of prior activity (see datasheet). | |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
Alert prioritization/scoring for risk rating and workflow focus appears in user guide screenshots and descriptions. | |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
Pattern recognition for complex behaviors discussed on website as part of analytics engine. |
Data Management & Integration
(7 Yes /7 Known /10 Possible features)
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Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
Multi-source data ingestion supported—references to combining trading, communications, and market/reference data. | |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
Data normalization mentioned as integral to ingesting multiple formats and sources. | |
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Real-time Data Ingestion Speed Latency from data input to analysis. |
. | No information available |
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Big Data Scalability Handles high volumes of transactions and market data without performance loss. |
Big data scalability is emphasized—product markets ability to handle large, high-velocity trade data flows. | |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
APIs and integration options presented for front/middle/back office connectivity. | |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
Explicitly claims support for structured (trades, positions) and unstructured (chats, email) data types. | |
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Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes). |
Reference data management and enrichment are available through LSEG/Refinitiv's platforms. | |
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Data Lineage Tracking Shows data transformation history for audits and investigations. |
No information available | |
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Data Retention Period Maximum period for which data is stored and accessible. |
No information available | |
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Cloud Data Storage Support Option to store data securely in the cloud. |
Cloud-hosted deployment with secure storage is marketed and referenced. |
Regulatory Coverage & Updates
(7 Yes /7 Known /9 Possible features)
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Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
Refinitiv offers regulatory rule libraries for global regimes such as MAR, MiFID II, Dodd-Frank, etc. | |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Jurisdiction-aware rules are highlighted as part of the configuration options. | |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
Regulatory update automation is a promoted feature—ensures compliance logic remains up-to-date. | |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
Configurable regulatory reports supported, with customizable outputs for regulators. | |
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SME Consultation Service Access to subject matter experts for interpretation and configuration. |
SME consultation cited in service and implementation descriptions. | |
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Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review. |
No information available | |
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Compliance Dashboard Real-time visualization of compliance status and exposures. |
Compliance dashboarding is promoted as a key user interface and reporting feature. | |
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Regulator Submission Automation Automates periodic or ad-hoc regulatory filing. |
Automation of regulatory submissions is referenced in compliance reporting workflow. | |
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Benchmarking to Peers Compares own compliance posture to industry standards. |
No information available |
Alert Management
(5 Yes /5 Known /9 Possible features)
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Case management functionality for end-to-end alert investigation workflow is described in product literature. | |
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Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
Alert triage tooling and queues part of the standard alert management workflow. | |
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Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates. |
Alert false positive filtering/suppression included to reduce investigation overhead. | |
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Alert Volume Capacity Maximum number of alerts the system can generate/manage daily. |
No information available | |
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Workflow Customization Customizable investigation workflows to fit internal processes. |
Workflow steps are customizable—users can adapt investigation flow as needed. | |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
Annotation/tagging for alerts is present—users can comment and categorize. | |
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Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts. |
No information available | |
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Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously. |
No information available | |
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Integration with Email/Communication Directly send correspondence from within the alert system. |
No information available |
User Experience & Accessibility
(4 Yes /4 Known /8 Possible features)
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Dashboards are customizable for different user roles (compliance, ops, etc.), as stated in product overview. | |
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Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
Web and mobile accessibility are referenced in UI/UX materials. | |
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Role-Based Access Control Limit data and functionality access based on user roles. |
Role-based user access control is a standard enterprise security practice and is mentioned. | |
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Multi-language Support Available in multiple languages for global teams. |
Multi-language support mentioned to serve global user base. | |
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User Training Modules Embedded tutorials and guides for training new users. |
No information available | |
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Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation). |
No information available | |
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Query Builder for Non-technical Users Visual interface to create complex searches without coding. |
No information available | |
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Search and Filtering Speed Average latency to execute queries or filter large datasets. |
. | No information available |
Security & Privacy
(7 Yes /7 Known /8 Possible features)
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Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer. |
Data encryption at rest and in transit is stated in Refinitiv's information security resources. | |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
Single Sign-On (SSO) available for enterprise authentication management (as stated in docs). | |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
Multi-factor authentication (MFA) can be enabled for increased security. | |
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Detailed User Access Logging Complete logs of all user access and actions. |
Detailed logging of user activities and access is stated for compliance purposes. | |
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GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
GDPR and data privacy compliance is claimed by Refinitiv as a regulated technology vendor. | |
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Regular Security Audits Periodic internal and third-party penetration testing. |
Regular security audits (internal and external) referenced in trust center materials. | |
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Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required. |
Data masking/redaction as a privacy feature is standard for compliance-focused enterprise products. | |
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Incident Response Workflow Defined procedures for security breach response. |
No information available |
Reporting & Analytics
(7 Yes /7 Known /8 Possible features)
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Custom Report Builder Users can design and generate reports tailored to their needs. |
Custom report builder is highlighted in analytics and reporting tools. | |
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Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
Regulatory reporting templates are part of the suite for standard compliance filings. | |
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Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
Automated scheduling of reports is available according to reporting documentation. | |
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Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
Data export (Excel, CSV, PDF) is confirmed UI feature. | |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Ad hoc querying supported for dynamic report and investigation needs. | |
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Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
Interactive dashboard visualizations included for compliance teams. | |
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Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
Comprehensive audit trails included to meet regulatory standards. | |
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Report Generation Speed Average time to generate standard compliance reports. |
. | No information available |
Artificial Intelligence & Advanced Analytics
(6 Yes /6 Known /8 Possible features)
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Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
Machine learning for pattern detection is promoted as part of advanced analytics. | |
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Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
NLP capabilities are referenced for analysis of unstructured data like emails and chats. | |
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Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes. |
No information available | |
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Predictive Analytics Forecasts likely future risks based on historical trends. |
Predictive analytics/forecasting for emerging risk detection is highlighted. | |
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Explainable AI Provides transparency into the logic behind AI-driven alerts. |
Explainability addressed in machine learning materials—users can interrogate alert rationale. | |
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Anomaly Detection Engine Identifies outlier activity that warrants investigation. |
Anomaly detection engine referenced within core analytics and alerting tools. | |
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False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics. |
. | No information available |
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Continuous Model Training System can update AI/ML models without manual intervention. |
Continuous AI/ML model updates described in materials about product evolution and learning. |
Deployment & Maintenance
(7 Yes /7 Known /8 Possible features)
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Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
Cloud SaaS as well as hosted deployments promoted. | |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
On-premise deployment available for clients needing local control, according to solution sheets. | |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
Disaster recovery is covered as part of operational risk and continuity measures. | |
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Uptime/Availability SLA Level of guaranteed system uptime. |
No information available | |
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Zero-Downtime Upgrades System can be upgraded without interrupting service. |
Zero-downtime upgrades referenced for cloud deployment models. | |
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Automated Patch Management Automatic deployment of security patches and bug fixes. |
Automated patch management is referenced for security and compliance. | |
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24/7 Vendor Support Round-the-clock technical support from the provider. |
24/7 support is marketed as available for enterprise customers. | |
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Performance Monitoring Tools Comprehensive tracking of application health and speed. |
Performance/health monitoring tools provided as part of operational dashboard. |
Configurability & Extensibility
(2 Yes /2 Known /7 Possible features)
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Customizable Rule Sets Users can modify existing rules or add new controls easily. |
Rule sets are customizable—users can author/edit rules. | |
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Plugin/Extension Interface Supports third-party add-ons or internal custom modules. |
No information available | |
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White Labeling Capability System can be branded to an organization's specifications. |
No information available | |
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Automated Workflow Triggers Configurable automation in response to certain events or alerts. |
Workflow automation, including triggers, is supported for event-driven processes. | |
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Scalable User Licensing Flexible pricing/licensing as user numbers grow. |
No information available | |
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Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule. |
. | No information available |
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Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers). |
No information available |
Cost & Commercial Terms
(7 Yes /7 Known /7 Possible features)
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Transparent Fee Structure Clear upfront pricing with no hidden fees. |
Pricing transparency is cited in marketing and sales documentation. | |
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Modular Pricing Options Ability to choose/cost features à la carte. |
Clients may select from a modular list of surveillance capabilities or jurisdictions. | |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
Support and maintenance (including upgrades) included per standard contracts. | |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
Cost scaling with usage, per user or per volume, available as per product pricing pages. | |
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Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
Free trials or proof of concept available on request (information from sales/Q&A sections). | |
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Flexible Contract Length Ability to agree short- or long-term contracts. |
Contract duration flexibility described (short and long-term available for clients). | |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
Exit support and data migration are offered as part of offboarding services. |
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