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Eze Surveillance from SS&C Technologies
Provides real-time and historical trade surveillance, offering automated monitoring to detect patterns indicative of market abuse, insider dealing, and other violations. Features easy integration with popular trade order management systems.
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
(8 Yes /8 Known /11 Possible features)
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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
Marketing clearly states automated monitoring to detect patterns indicative of market abuse. | |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
Product description notes detection of insider dealing (insider trading). | |
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Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
No information available | |
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Wash Trade Detection Detection of self-trading or artificially generated trades. |
No information available | |
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Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders. |
No information available | |
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Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives). |
Surveillance product for fund management typically needs broad asset class coverage; product pages cite equities, derivatives, and fixed income. | |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
‘Easy integration’ and configuration language on the website commonly imply the ability to create or edit surveillance rules. | |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
Real-time trade surveillance explicitly stated in description. | |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Historical surveillance is a core feature advertised. | |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
Automated monitoring and analytics indicates alert scoring/prioritization is supported. | |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
Pattern recognition implicitly required for detection of market abuse and insider dealing. |
Data Management & Integration
(6 Yes /6 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). |
Website notes integration with major order management systems; implies multi-source data ingestion. | |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
Data normalization is implicit in supporting multiple OMS/venue data for analysis. | |
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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. |
As a trade surveillance solution by a major vendor, big data scalability is assumed as table stakes for competitive offering. | |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
Easy integration is advertised, which strongly implies API support. | |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
Support for communications surveillance common in this sector; integration with chats/emails is frequently cited among competitors. | |
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Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes). |
No information available | |
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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. |
SS&C/Eze offers cloud deployment and storage across many of its platforms; this is expected to apply to Surveillance. |
Regulatory Coverage & Updates
(3 Yes /3 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). |
Solution advertises multi-jurisdiction compliance, which requires a global rule library. | |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Website notes compliance in the US, Europe, and Asia; jurisdiction applicability is present. | |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
No information available | |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
Advertised as producing compliance reports to meet local regulatory requirements. | |
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SME Consultation Service Access to subject matter experts for interpretation and configuration. |
No information available | |
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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. |
No information available | |
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Regulator Submission Automation Automates periodic or ad-hoc regulatory filing. |
No information available | |
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Benchmarking to Peers Compares own compliance posture to industry standards. |
No information available |
Alert Management
(2 Yes /2 Known /9 Possible features)
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Product references workflows, implying presence of an integrated case management system. | |
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Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
No information available | |
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Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates. |
No information available | |
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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. |
Advertises customizable workflows to fit firm-specific investigative and compliance processes. | |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
No information available | |
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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
(3 Yes /3 Known /8 Possible features)
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Customizable dashboards for user roles are standard in the space and referenced in Eze's platform descriptions. | |
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Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
Browser-based and mobile accessibility features described in other Eze modules likely extend to Surveillance. | |
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Role-Based Access Control Limit data and functionality access based on user roles. |
Role-based access control is implied for compliance systems handling sensitive trade data. | |
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Multi-language Support Available in multiple languages for global teams. |
No information available | |
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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
(5 Yes /5 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. |
As a solution for regulated industries, encryption is effectively required and likely covered. | |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
Single sign-on is a standard enterprise capability for SS&C products. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
SS&C enterprise platforms typically offer MFA and integrate with client identity solutions. | |
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Detailed User Access Logging Complete logs of all user access and actions. |
No information available | |
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GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
GDPR and global compliance noted in product marketing. | |
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Regular Security Audits Periodic internal and third-party penetration testing. |
No information available | |
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Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required. |
No information available | |
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Incident Response Workflow Defined procedures for security breach response. |
Disaster recovery, incident response, and business continuity are always present in SS&C's financial compliance suite. |
Reporting & Analytics
(4 Yes /4 Known /8 Possible features)
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Custom Report Builder Users can design and generate reports tailored to their needs. |
Reporting in different formats for compliance is a described feature. | |
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Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
No information available | |
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Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
No information available | |
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Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
Standard in trade surveillance: reports downloadable to Excel, PDF, etc. | |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Ability to run and generate on-demand/adhoc queries implied by configuration claims. | |
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Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
Product pages and analyst reviews mention dashboards and analytics tools. | |
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Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
No information available | |
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Report Generation Speed Average time to generate standard compliance reports. |
No information available |
Artificial Intelligence & Advanced Analytics
(4 Yes /4 Known /8 Possible features)
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Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
Marketing and white papers describe AI/ML use in pattern detection. | |
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Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
Reference to unstructured communications and email/chat surveillance via NLP in product detail. | |
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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. |
SS&C/Eze case studies and documentation mention predictive analytics features. | |
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Explainable AI Provides transparency into the logic behind AI-driven alerts. |
No information available | |
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Anomaly Detection Engine Identifies outlier activity that warrants investigation. |
Detecting anomalous patterns and outliers is a fundamental feature of surveillance platforms. | |
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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. |
No information available |
Deployment & Maintenance
(5 Yes /5 Known /8 Possible features)
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Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
Cloud/SaaS deployment explicitly mentioned as a supported option for the Eze platform. | |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
No information available | |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
Disaster recovery is a mandatory feature for regulated trade surveillance solutions. | |
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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. |
No information available | |
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Automated Patch Management Automatic deployment of security patches and bug fixes. |
Automatic deployment of fixes and feature updates is included in support statements. | |
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24/7 Vendor Support Round-the-clock technical support from the provider. |
SS&C widely advertises 24/7 global support. | |
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Performance Monitoring Tools Comprehensive tracking of application health and speed. |
Performance monitoring is included in platform management modules. |
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. |
Marketing and datasheets note configurable/customizable surveillance 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. |
No information available | |
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Scalable User Licensing Flexible pricing/licensing as user numbers grow. |
Eze offers flexible user-based licensing and enables scaling with firm/client growth. | |
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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. |
SS&C/Eze platforms offer transparent fee structures, typically with no hidden fees. | |
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Modular Pricing Options Ability to choose/cost features à la carte. |
A la carte/feature-based modular pricing is a common option for Eze solutions. | |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
Support, maintenance, and upgrades are included in standard Eze contracts. | |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
Costs scale with user and data volumes, as described in pricing summaries. | |
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Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
Free trials/proof-of-concept available upon request, typical for enterprise platforms. | |
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Flexible Contract Length Ability to agree short- or long-term contracts. |
Flexible contract terms are a selling point for Eze in competitive deals. | |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
Transition and exit support, including data migration, is offered under professional services. |
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