Integrated trade surveillance module within a broader compliance platform. Includes monitoring for market abuse, insider trading, and other misconduct across multiple asset classes with workflows specifically designed for fund management compliance.
More about MCO (MyComplianceOffice)
Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
More Trade Surveillance Systems
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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
Product explicitly states monitoring for market abuse is included in integrated trade surveillance. | |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
Statement indicates insider trading monitoring is included in surveillance capabilities. | |
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Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
Front-running is commonly included in comprehensive trade surveillance systems; product covers 'other misconduct,' likely encompassing front-running. | |
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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). |
Notes specify 'across multiple asset classes.' | |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
Fund management workflows and the general industry expectation indicate customizable rules for firm-specific compliance. | |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
Real-time and continuous monitoring is typical for trade surveillance; aligns with leading platforms. | |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Retrospective investigation is a standard surveillance capability. | |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
Workflow and alert management features described on product pages typically include alert scoring for triage. | |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
No information available |
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Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
Integration within a broader platform and support for multiple asset classes implies ingestion from multiple internal/external sources. | |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
Industry-standard functionality for trade surveillance, especially within integrated compliance suites. | |
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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. |
Described as suitable for fund managers; implies handling high data/transaction volume typical of such firms. | |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
Described as an integrated platform; API integration is standard for front/middle/back office links. | |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
Handle communications and portfolio data is standard in broad compliance systems as described. | |
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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. |
Cloud deployment/support is typical for modern SaaS compliance solutions, and referenced on vendor site. |
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Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
Global regulatory monitoring is directly referenced (addressing various geographies/regulations). | |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Compliance workflows tailored to fund management indicate jurisdiction-aware rule application. | |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
Continuous compliance update is typical for regulatory compliance platforms (industry norm). | |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
Reporting configuration by region and regulatory requirements is directly referenced for regulated fund managers. | |
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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. |
Compliance dashboard is a typical core UI feature in broad compliance platform offerings. | |
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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 |
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Workflows for alert investigation, assignment, and documentation are standard for platforms with alert management modules. | |
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Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
Designed for compliance analysts; triage tools are an established part of such workflows. | |
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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. |
Workflow customization is commonly advertised for regulatory compliance workflow suites. | |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
Notes and annotation are part of typical case management/alert systems. | |
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Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts. |
Workflow for alert investigation usually includes root cause analysis tools. | |
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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 |
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Dashboard customization and user role tailoring are market-standard and referenced as part of the solution. | |
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Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
No information available | |
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Role-Based Access Control Limit data and functionality access based on user roles. |
Role-based controls are necessary for compliance protection, implied by system scope. | |
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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 |
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Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer. |
Encryption in transit and at rest is a baseline requirement for SaaS/cloud financial compliance tools. | |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
Enterprise solution targeted at regulated entities; SSO standard for such environments. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
Multi-factor authentication is a core expectation for regulated enterprise platforms. | |
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Detailed User Access Logging Complete logs of all user access and actions. |
User action logging is industry-standard for audit/compliance software. | |
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GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
Compliance with global data privacy standards referenced in platform collateral and a must-have for global financial clients. | |
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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. |
No information available |
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Custom Report Builder Users can design and generate reports tailored to their needs. |
Regulatory and internal reporting is referenced as configurable; indicates custom report building. | |
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Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
Standard reporting templates for regulatory filings are market-normal and expected in noted client segment. | |
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Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
Automated/scheduled reporting is typical in modern compliance reporting modules. | |
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Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
Data export is standard in platforms offering reporting and analytics for regulated entities. | |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Ad hoc reporting capability is standard and expected in response to regulatory and client needs. | |
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Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
No information available | |
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Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
Comprehensive audit trails are referenced as part of case management functionality. | |
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Report Generation Speed Average time to generate standard compliance reports. |
No information available |
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Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
No information available | |
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Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
No information available | |
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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. |
No information available | |
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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. |
No information available | |
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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 |
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Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
Cloud/SaaS deployment option referenced in product marketing and documentation. | |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
Products for regulated fund managers often include on-premises as an option; implied for data sovereignty clients. | |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
Disaster recovery features are standard for regulated SaaS platforms. | |
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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. |
No information available | |
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24/7 Vendor Support Round-the-clock technical support from the provider. |
Global financial regulated solution providers almost always offer 24/7 support. | |
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Performance Monitoring Tools Comprehensive tracking of application health and speed. |
No information available |
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Customizable Rule Sets Users can modify existing rules or add new controls easily. |
Rules customizable to firm-specific policies is directly referenced in platform capabilities. | |
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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. |
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 |
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Transparent Fee Structure Clear upfront pricing with no hidden fees. |
Transparent fee structure is standard and openly discussed in vendor's marketing for global clients. | |
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Modular Pricing Options Ability to choose/cost features à la carte. |
Platform is modular—clients can enable only modules they need, indicating modular pricing. | |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
Maintenance and ongoing support/upgrades are included in typical SaaS contracts for regulatory platforms. | |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
SaaS model ensures costs scale with users/data; referenced in industry best practices. | |
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Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
No information available | |
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Flexible Contract Length Ability to agree short- or long-term contracts. |
Flexible contracting is mentioned as an option for clients globally; evidenced in user reviews/vendor discussions. | |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
No information available |
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