With SURVEIL-X Holistic Conduct Surveillance, your firm can finally cut through the clutter of false alerts to accurately detect market abuse and reduce compliance resource drain, while using anomaly detection to identify hidden risks, and leveraging smart investigation tools to help your analysts disposition alerts faster and more effectively.
As an online brokerage firm, demand for your services is growing as retail customers flock to online investing. As regulators keep a watchful eye, you need to stay a step ahead of market abuse. But this isn’t always easy to do. Account volumes, trading activity, even the variety of products and asset classes your retail customers are investing in are all increasing.
Take Surveillance for Online Brokers to a Whole New Level
Monitor Advisor Disclosures and Recommendations
Events Reconstructed to Demonstrate True Intent
Discovers Previously Unknown Risk
Cloud Agility and Cost Savings
Step Up Your Surveillance, Instill Regulatory Confidence, Reduce False Alerts and Resource Drain
With SURVEIL-X Holistic Conduct Surveillance, your firm can finally cut through the clutter of false alerts to accurately detect market abuse and reduce compliance resource drain, while using anomaly detection to identify hidden risks, and leveraging smart investigation tools to help your analysts disposition alerts faster and more effectively.
Comprehensive Coverage and Accurate Detection Cut through the Clutter of False Alerts
SURVEIL-X offers a broad array of Out-of-the-Box (OOTB) risk detection models for every regulation and asset class. Your firm can readily detect common market abuse scenarios like Insider Dealing, Wash Trading, Front Running, Off Market Trades, and more, while reducing false positives by up to 70 percent.
With cross-product and cross-market manipulation falling under greater regulatory scrutiny, SURVEIL-X can also detect sophisticated market manipulation involving related instruments, whether they are traded on the same or different venues.
In addition to taking advantage of SURVEIL-X’s OOTB analytics, your firm can use SURVEIL-X Studio to easily create, test and deploy custom analytic models to fill coverage gaps, and address unique business needs.
Anomaly Detection: Identifying True Hidden Risks
With traditional prescriptive detection methods that focus on only identifying known risks at specific moments in time, bad actors can sometimes fly under the radar. SURVEIL-X’s anomaly detection offers your firm a higher level of protection, by leveraging machine learning and historical transactional data (i.e. orders and executions) to bring otherwise undetectable risky behavioral patterns to the forefront, for example trading activity that’s outside of the norm for a specific account or investor.
Smarter Case Management for Streamlined Investigations
SURVEIL-X’s Case Manager addresses this challenge by applying automation and intelligence to every stage of the compliance investigation process. As transaction volumes and alert caseloads grow, you won’t need to hire an army of analysts because the ones you already have can work smarter and more efficiently. Each time your analysts log on, they’re presented with alerts and explainable analytics, so they have all the information they need to disposition alerts, all in one place, at their fingertips.
There’s also no need to navigate external systems to pull data together. Analysts are able to intuitively visualize information to understand and evaluate risk alerts, and quickly connect the dots, draw conclusions and make decisions. They get insight into market events and trading patterns, and can clearly see what was done and why, with links to related market data and news.
