Modular surveillance platform that monitors trading activity, detects potential market abuse, and automates regulatory compliance processes. Supports buy-side and fund manager workflows with customizable monitoring.
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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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
Described as detecting potential market abuse; strong indication of market abuse pattern detection. | |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
Automates regulatory compliance processes and monitors trading; typical of platforms covering insider trading surveillance. | |
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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). |
Market surveillance for buy-side/fund management implies multi-asset surveillance; modular and broad monitoring suggests multi-asset class coverage. | |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
Customizable monitoring and workflows described; supports custom rule development. | |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
Described as monitoring and detecting in real-time. | |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
Platform enables compliance investigations, implying historical analysis. | |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
Mention of alert automation and compliance exposures aligns with alert scoring/prioritization. | |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
Detection of market abuse patterns implies use of pattern recognition analytics. |
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Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
Modular platform, customizable workflows, typical industry requirement to ingest both internal and external data. | |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
Supports compliance automation—data normalization is implied to manage disparate data 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. |
Claims to be highly modular/scalable, typical for platforms handling high transaction volumes without performance loss. | |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
No information available | |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
'Customizable monitoring' and buy-side/fund workflows likely require support for both structured and unstructured data. | |
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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 storage is referenced as an option in platform overview. |
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Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
Automated regulatory compliance across jurisdictions implies integrated global rule libraries. | |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
Automated compliance by region with custom workflows implies jurisdiction awareness. | |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
Continuous compliance and regulatory automation suggest automated regulatory update mechanisms. | |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
No information available | |
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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. |
Real-time compliance status and exposures suggest compliance dashboard is 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 |
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
Case management/investigation workflow is standard in modular market surveillance systems. | |
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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. |
Described as customizable for workflows, which includes investigation processes. | |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
Workflow and investigation customization implies annotation/tagging functionality. | |
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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 |
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
Personalized workflows and monitoring imply customizable dashboards for multiple user roles. | |
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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. |
Mention of customized access for different workflows suggests RBAC is available. | |
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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. |
Market surveillance systems for regulated clients must offer encryption at rest/in transit; likely required for buy-side/fund. | |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
No information available | |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
No information available | |
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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. |
Claims support for global regulatory compliance; GDPR-level compliance is strongly expected. | |
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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. |
Reporting and monitoring configuration are key selling points, making a custom report builder highly likely. | |
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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). |
Surveillance and audit platforms typically support report/data export; standard in industry. | |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
Custom queries/reporting are typical in compliance platforms; aligns with 'customizable monitoring'. | |
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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. |
Audit trails are a core feature for market surveillance; required for compliance evidence. | |
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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. |
Modular, scalable platform, available as SaaS/cloud deployment (per vendor site). | |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
Vendor offers both cloud and on-prem deployment options (per vendor website). | |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
No information available | |
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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. |
No information available | |
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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. |
Customizable monitoring/rule configuration is a highlighted feature on vendor site. | |
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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. |
No information available | |
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Modular Pricing Options Ability to choose/cost features à la carte. |
No information available | |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
No information available | |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
No information available | |
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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. |
Vendor highlights flexible, modular and scalable licensing and deployment, which strongly suggests flexible contract lengths. | |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
No information available |
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