Comprehensive trade monitoring, market abuse detection, surveillance alerts, reports generation, real-time analytics, and robust compliance integration. It provides insight into trading behaviors and identifies patterns that may indicate suspicious activities.
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
More Risk & Compliance ...
|
Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
SMARTS Trade Surveillance explicitly advertises market abuse detection capabilities in its product description. | |
|
Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
SMARTS identifies suspicious trading behaviors, which includes insider trading detection as referenced in their solution materials. | |
|
Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
Front-running detection is a core use-case for trade surveillance platforms like SMARTS and referenced in their coverage of manipulative trading behaviors. | |
|
Wash Trade Detection Detection of self-trading or artificially generated trades. |
SMARTS detects wash trades (self-trading and artificial trades) as part of its manipulation surveillance. | |
|
Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders. |
The solution states detection of spoofing/layering as part of market abuse scenarios it covers. | |
|
Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives). |
SMARTS supports cross asset class surveillance (equities, fixed income, derivatives) - confirmed in product datasheets. | |
|
Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
Custom rule development is offered for firm-specific surveillance logic, as mentioned in product resources. | |
|
Real-time Monitoring Capability to analyze trading activity as it happens. |
SMARTS performs real-time monitoring and alerting on trading activity as described on their website. | |
|
Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Historical analysis for investigations is a standard feature of SMARTS with reference to reviewing past trading data. | |
|
Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
Alert prioritization/scoring is mentioned as risk-based ranking and workflow support in SMARTS. | |
|
Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
Pattern recognition engine is part of the analytics and detection capabilities (see tech brochures). |
|
Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
Multi-source data ingestion confirmed as the system takes feeds from trading, market, and reference sources. | |
|
Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
SMARTS data pipeline normalizes varied data sources (required for ingesting market & client data). | |
|
Real-time Data Ingestion Speed Latency from data input to analysis. |
No information available | |
|
Big Data Scalability Handles high volumes of transactions and market data without performance loss. |
SMARTS solution designed to scale with large exchanges, brokers, and venues with high data volumes. | |
|
APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
APIs for integration are standard in SMARTS to connect with client systems and data sources. | |
|
Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
SMARTS supports both structured (trading logs) and unstructured (communications) data based on its workflow/disclosure. | |
|
Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes). |
Reference data management referenced as necessary for market participant/source enrichment. | |
|
Data Lineage Tracking Shows data transformation history for audits and investigations. |
Audit and investigation functions rely on data lineage features. | |
|
Data Retention Period Maximum period for which data is stored and accessible. |
No information available | |
|
Cloud Data Storage Support Option to store data securely in the cloud. |
Cloud storage options mentioned explicitly on SMARTS documentation regarding SaaS deployments. |
|
Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
SMARTS provides a global regulatory rule library with rulesets for MAR, MiFID II, ASIC, etc. | |
|
Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Jurisdiction awareness is supported through regional rule application. | |
|
Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
SMARTS implements automated regulatory update mechanisms per product bulletins. | |
|
Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
Configurable regulatory reports are a feature in compliance reporting. | |
|
SME Consultation Service Access to subject matter experts for interpretation and configuration. |
Support and consultation services provided by SMARTS SME specialists. | |
|
Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review. |
SMARTS maintains auditable logs for rule changes for compliance review. | |
|
Compliance Dashboard Real-time visualization of compliance status and exposures. |
Compliance dashboards present in the user interface according to marketing demonstrations. | |
|
Regulator Submission Automation Automates periodic or ad-hoc regulatory filing. |
SMARTS enables automated submission of filings, depending on client region. | |
|
Benchmarking to Peers Compares own compliance posture to industry standards. |
Benchmarking to peer industry compliance posture mentioned in thought leadership material. |
|
Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Case management system referred in product functionality (alert workflow, escalation). | |
|
Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
Alert triage tools exist for prioritizing and closing alerts efficiently. | |
|
Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates. |
False positive and duplicate alerts suppression referenced as part of alert noise reduction. | |
|
Alert Volume Capacity Maximum number of alerts the system can generate/manage daily. |
No information available | |
|
Workflow Customization Customizable investigation workflows to fit internal processes. |
Workflow customization supported to tailor investigative procedures. | |
|
Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
Annotating and tagging alerts is available for case review. | |
|
Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts. |
SMARTS provides root cause analysis tools for alert management. | |
|
Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously. |
Bulk alert handling capabilities described in workflow efficiency materials. | |
|
Integration with Email/Communication Directly send correspondence from within the alert system. |
SMARTS interfaces with email and communication systems for documentation. |
|
Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Customizable dashboards are a UI highlight of SMARTS. | |
|
Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
Mobile and web access provided for SMARTS cloud users. | |
|
Role-Based Access Control Limit data and functionality access based on user roles. |
Role-based access control implemented for data security and user specialization. | |
|
Multi-language Support Available in multiple languages for global teams. |
No information available | |
|
User Training Modules Embedded tutorials and guides for training new users. |
SMARTS includes user training modules for customer onboarding. | |
|
Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation). |
No information available | |
|
Query Builder for Non-technical Users Visual interface to create complex searches without coding. |
No information available | |
|
Search and Filtering Speed Average latency to execute queries or filter large datasets. |
No information available |
|
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 regularly mentioned as part of SMARTS cloud offering. | |
|
Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
Single Sign-On (SSO) integration offered with enterprise deployment of SMARTS. | |
|
Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
Multi-factor authentication is available for platform access (site references security best practices). | |
|
Detailed User Access Logging Complete logs of all user access and actions. |
User actions are auditable and logged thoroughly. | |
|
GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
SMARTS is designed for GDPR and local data privacy compliance, validated in EU deployments. | |
|
Regular Security Audits Periodic internal and third-party penetration testing. |
Regular security audits are part of the product's operational procedure. | |
|
Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required. |
No information available | |
|
Incident Response Workflow Defined procedures for security breach response. |
Incident response workflows are established for enterprise customers. |
|
Custom Report Builder Users can design and generate reports tailored to their needs. |
Custom report builder is part of advanced reporting in SMARTS. | |
|
Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
Regulatory reporting templates included for main compliance jurisdictions. | |
|
Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
Automated scheduled reports are definable within SMARTS. | |
|
Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
SMARTS allows data exports in CSV, PDF, and Excel formats. | |
|
Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Ad hoc query support is standard (see query and reporting documentation). | |
|
Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
Interactive data visualization is present in dashboards and reporting modules. | |
|
Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
Comprehensive audit trails noted in system logging/forensic function. | |
|
Report Generation Speed Average time to generate standard compliance reports. |
No information available |
|
Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
Machine learning-based pattern detection is marketed as part of SMARTS' evolving detection logic. | |
|
Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
Natural language processing capability is referenced in communication surveillance. | |
|
Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes. |
Self-learning alert calibration is claimed as a feature of the newer SMARTS releases. | |
|
Predictive Analytics Forecasts likely future risks based on historical trends. |
Predictive analytics for risk forecasting is included in marketing material and whitepapers. | |
|
Explainable AI Provides transparency into the logic behind AI-driven alerts. |
Explainable AI mentioned in documentation to provide transparency for reviews. | |
|
Anomaly Detection Engine Identifies outlier activity that warrants investigation. |
Anomaly detection engine is a key differentiator in SMARTS detection capabilities. | |
|
False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics. |
No information available | |
|
Continuous Model Training System can update AI/ML models without manual intervention. |
Continuous model training is advertised in the context of self-learning models. |
|
Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
Cloud deployment option (SaaS) is available for SMARTS. | |
|
On-Premise Deployment Option Supports a local installation option for sensitive environments. |
On-premise deployment is also offered for organizations requiring local hosting. | |
|
Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
Disaster recovery support referenced in operational policy and client assurance documents. | |
|
Uptime/Availability SLA Level of guaranteed system uptime. |
No information available | |
|
Zero-Downtime Upgrades System can be upgraded without interrupting service. |
Zero-downtime upgrades are supported in managed or cloud deployments. | |
|
Automated Patch Management Automatic deployment of security patches and bug fixes. |
No information available | |
|
24/7 Vendor Support Round-the-clock technical support from the provider. |
SMARTS offers 24/7 vendor support per product documentation. | |
|
Performance Monitoring Tools Comprehensive tracking of application health and speed. |
Performance monitoring tools available for technical administrators. |
|
Customizable Rule Sets Users can modify existing rules or add new controls easily. |
Customizable rule sets described as part of surveillance configuration. | |
|
Plugin/Extension Interface Supports third-party add-ons or internal custom modules. |
Plugin/extension interface is available to support bespoke client requirements. | |
|
White Labeling Capability System can be branded to an organization's specifications. |
White labeling for venue/branded deployments mentioned in product literature. | |
|
Automated Workflow Triggers Configurable automation in response to certain events or alerts. |
Automated workflow triggers can be set up within SMARTS for alert handling. | |
|
Scalable User Licensing Flexible pricing/licensing as user numbers grow. |
No information available | |
|
Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule. |
No information available | |
|
Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers). |
Multi-tenancy is supported for exchanges or venues hosting multiple institutions. |
|
Transparent Fee Structure Clear upfront pricing with no hidden fees. |
No information available | |
|
Modular Pricing Options Ability to choose/cost features à la carte. |
Customers can select only the required feature modules; modular pricing referenced. | |
|
Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
Support & maintenance is included in subscription pricing for SMARTS. | |
|
Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
Scalability of costs is addressed (pricing scales with data and user base as per sales documents). | |
|
Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
Free trial or proof of concept offered, referenced in sales engagement materials. | |
|
Flexible Contract Length Ability to agree short- or long-term contracts. |
Flexible contract lengths are offered to clients per procurement documentation. | |
|
Exit/Transition Support Assistance with offboarding and data migration on contract end. |
Exit/transition support provided at contract end, as described in onboarding/offboarding documentation. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.