Provides market abuse surveillance for equities, FICC, and derivatives. Delivers advanced analytics, anomaly detection, scenario testing, case management, and regulatory compliance modules.
More about Nice Actimize (NICE Ltd.)
Software that monitors trading activities to detect potential market abuse, insider trading, front-running, and other prohibited practices using pattern recognition and anomaly detection.
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Real-time Monitoring The system's ability to analyze and flag suspicious trades as they happen. |
Product highlights real-time monitoring and flagging of suspicious activity as trades occur, documented on vendor's solution page. | |
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Post-trade Analysis Ability to conduct surveillance on completed trades for historical pattern detection. |
Provides post-trade analysis for historical pattern detection, part of scenario testing and case management modules. | |
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Pattern Recognition Automated identification of market abuse patterns such as layering, spoofing, or wash trades. |
Pattern recognition of market abuse types (e.g., layering, spoofing, wash trades) featured explicitly by product marketing. | |
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Anomaly Detection Statistical or AI-driven alerting on behaviors that deviate from historical norms. |
Advanced anomaly detection cited as a core analytic within Actimize Trade Surveillance and confirmed through marketing materials. | |
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Alert Generation Automated creation of notifications for compliance team review on flagged activities. |
Alerting and notification functions for compliance team are a fundamental product capability. | |
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Custom Rule Creation Ability for users to define, implement, and adjust surveillance rules. |
Custom rule creation and scenario testing noted in public documentation. | |
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Rule Library Pre-built rules for fast deployment and coverage of common compliance scenarios. |
Rule library of pre-built scenarios for fast deployment referenced in product guides and vendor's collateral. | |
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Case Management Tools for documenting, tracking, and managing compliance investigations. |
Case management is cited as a core module. | |
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False Positive Reduction Mechanisms to reduce erroneous or unnecessary alerts. |
Marketing and technical documentation mention advanced analytics for reducing false positives. | |
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Alert Prioritization System to rank the importance and urgency of alerts based on risk. |
Alert prioritization/triage is part of the alert management process. | |
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Investigation Workflow Structured process for alert review, analysis, escalation, and resolution. |
Investigation workflow supported through case management and escalation capabilities. | |
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Audit Trail Comprehensive logging of user actions, rule changes, and investigations for compliance. |
Complete audit trail functionality is required for compliance and detailed on vendor site. | |
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Real-time Data Ingest Rate The maximum number of trades or messages processed per second in real-time monitoring. |
No information available | |
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Historical Data Retention Period Time duration for which trade data is maintained for surveillance and investigations. |
No information available |
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Insider Trading Detection Ability to recognize trading activity that may be based on non-public, material information. |
Insider trading detection is enumerated among key scenarios in Actimize material. | |
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Front-running Detection Identification of personnel trading ahead of client or firm orders. |
Front-running detection is a typical trade surveillance scenario; confirmed by reference implementations. | |
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Spoofing/Layering Detection Detection of placing orders with intention to cancel to manipulate market appearance. |
Spoofing/layering detection mentioned in solution overviews and product sheets. | |
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Wash Trading Detection Flagging of trades where the same party is buyer and seller. |
Wash trading detection is included in market abuse surveillance scenarios. | |
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Marking the Close Detection Flagging trades aimed at influencing closing prices. |
Marking the close detection is covered as a typical surveillance scenario. | |
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Churning Detection Detection of excessive trading to generate commissions or fees. |
Churning detection provided in analytic models and case studies. | |
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Quote Stuffing Detection Identifies high volumes of order submission and cancellation to clog market data. |
Quote stuffing is explicitly cited as one of the scenarios covered by the platform. | |
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Reference Price Manipulation Detects attempts to distort benchmarks or reference prices. |
Reference price manipulation detection supported via scenario analytics. | |
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Cross-market Manipulation Coverage Ability to correlate and detect abuse across multiple venues or asset classes. |
Cross-market and cross-asset class manipulation detection highlighted in product literature. | |
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Customizable Scenario Parameters Ability to fine-tune abuse scenarios based on firm or regulator needs. |
Scenario/parameter configurability is a stated feature. |
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Multi-Asset Class Support Support for equities, fixed income, options, futures, FX, crypto, etc. |
Multi-asset class support is confirmed: equities, FICC, derivatives all cited. | |
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Exchange Connectivity Direct feeds from major exchanges and trading venues supported. |
Exchange connectivity to multiple trading venues referenced in architecture diagrams. | |
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Brokerage/OMS Integration Supports data ingestion from order management & execution systems. |
Integration with OMS and broker data sources provided as a core integration capability. | |
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Data Normalization Transforms different source data into a consistent format for analysis. |
Data normalization is part of the inbound data processing pipeline. | |
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Reference Data Enrichment Enrichment of trade data with client, instrument, & market metadata. |
Reference data enrichment—matching trades with instrument, client, and market data—is standard. | |
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Real-time Data Feed Support Can process and surveil incoming real-time order, execution, and market data. |
Real-time data feed processing for incoming trades and orders provided. | |
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Historical Data Import Bulk ingestion of legacy data for backtesting and lookback reviews. |
Historical data import supported for backtesting and onboarding existing data. | |
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Third-party Data Integration Ability to integrate with data from third-party vendors and regulators. |
3rd party data/vendor integration is mentioned as a configuration option. | |
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APIs for Data In/Out Public or private APIs for custom integrations to ingest/extract data. |
APIs for custom integration and data ingestion detailed in integration guides. |
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Alert Dashboard Centralized view of current and historical alerts with filtering and sorting. |
Alert dashboard is described as the main user interface for alert review and filtering. | |
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Workflow Automation Automates assignment, tracking, and management of surveillance cases. |
Workflow automation for case assignment and escalation available via case management. | |
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Investigation Notes Secure and timestamped note-taking for audits and reviews. |
Case notes and audit features are highlighted as part of investigation management. | |
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Attachment Handling Upload and attach evidence or documents to cases or alerts. |
Supporting document/evidence attachment in case handling is provided. | |
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Audit Log Immutable record of all user and system actions related to cases. |
Audit log functionality referenced for compliance and audit trail. | |
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Alert Escalation Workflow for raising the severity or assigning cases to higher authority. |
Alert escalation workflow supported for compliance team structure. | |
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Disposition Tracking Track final outcomes (dismissal, SAR filing, etc.) for audit purposes. |
Disposition tracking for case/alert closure and regulatory filing is included. | |
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Bulk Alert Management Tools for actioning or closing batches of alerts efficiently. |
Bulk alert actioning, closure and review supported via batch tools. | |
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Case Re-open Functionality Allows re-examination of closed cases if new information arises. |
Closed case reopening supported; cited as important for ongoing investigations. | |
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Integration with Email/Communication Platforms Send notifications, reminders, or extract communications as part of surveillance. |
Integration with communication/email platforms is noted for holistic surveillance. |
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Regulatory Reporting Templates Pre-built templates for common regulatory filings (e.g., SAR, STOR, MROS). |
Regulatory reporting templates for SAR, STOR, and other formats provided as out-of-the-box reports. | |
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Custom Report Builder Allows users to generate custom reports using extensive data filters and pivots. |
Custom report builder functionality cited as a reporting module feature. | |
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Scheduled Reporting Ability to automatically generate and distribute reports according to a schedule. |
Scheduled/batch reporting is mentioned as a delivery option for reports. | |
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Interactive Dashboards Visualizations and key metrics about alerts, investigations, and trends. |
Interactive dashboards delivered as part of the user interface. | |
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Data Export Capability Export raw data or reports in CSV, Excel, PDF, or other formats. |
Data export (CSV/Excel/PDF) is a standard feature. | |
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Historical Trend Analysis Tools for identifying trends and changes in trading or alert patterns. |
Historical trend analysis tools mentioned in analytics. | |
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Management Information Reports KPI and MI tools for compliance and operations management. |
Management information reporting is available, usually in dashboard/reporting sections. | |
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Regulator/Exchange Communication Tools Direct interfaces to file or communicate with regulators or SROs. |
Direct communication to regulators/SROs supported for notification. | |
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On-demand Report Generation Speed Average time required to generate a standard report on demand. |
No information available |
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Maximum Concurrent Users Number of users who can access and use the system simultaneously. |
No information available | |
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Event Processing Capacity Maximum number of events or trades surveilled per day. |
No information available | |
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Horizontal Scaling Support Ability to add compute nodes or instances to increase throughput on demand. |
Cloud and on-premise scaling and resource allocation described in architectural materials. | |
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Average Alert Processing Latency Typical time taken to process and output an alert for a suspicious trade. |
No information available | |
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99th Percentile System Response Time System's response speed for 99% of requests/users. |
No information available | |
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Performance Monitoring Tools In-built tools for monitoring system load, latency, and resource utilization. |
System monitoring and performance dashboards described in admin sections. | |
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High Availability (HA) Architecture Implementation of redundancy, failover, and downtime minimization. |
High availability architecture with redundancy cited in vendor whitepapers. | |
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Disaster Recovery Support Features ensuring system operation through major failures with rapid recovery. |
Disaster recovery options provided, including business continuity material. |
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Multi-jurisdictional Support Coverage for rules and requirements across different geographies. |
Multi-jurisdiction and global compliance support flagged as differentiator. | |
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Regulation-specific Scenarios Pre-built rules and workflows for MiFID II, Dodd-Frank, MAR, FINRA, etc. |
Prebuilt regulation-specific scenarios (MiFID II, MAR, Dodd-Frank, etc.) described. | |
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Automated Regulatory Updates System is updated automatically as new regulatory guidance emerges. |
Automated updates on new regulations referenced in SaaS documentation. | |
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Audit Readiness Built-in features to simplify preparing for and supporting regulatory audits. |
Audit readiness/documentation toolkits are mentioned. | |
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Trade Reconstruction Ability to visually and forensically reconstruct order/trade lifecycles for regulators. |
Trade reconstruction abilities presented for forensic investigations. | |
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Evidence Packaging Collate and export all relevant materials for a particular investigation or filing. |
Evidence packaging—collating case data for regulator—included in documentation. |
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Role-based Access Control Ability to define fine-grained user roles and permissions. |
Role-based access control listed for secure permissions. | |
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Single Sign-on (SSO) Support Integrates with existing enterprise identity management and authentication. |
Enterprise SSO integration provided, with SAML/AD/LDAP support. | |
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Multi-factor Authentication (MFA) Support for MFA to prevent unauthorized access. |
Multi-factor authentication is a supported security option. | |
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Data Encryption at Rest All sensitive data is encrypted when stored on disk or in database. |
Data encryption at rest described under product security protocols. | |
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Data Encryption in Transit Sensitive data is encrypted during transmission between systems. |
Data encryption in transit (TLS/SSL/etc.) required and implemented for compliance. | |
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Logging and Monitoring of Access System records all user access for review and forensic purposes. |
Logging and monitoring of user access listed for compliance use. | |
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User Activity Alerts Generates alerts for suspicious or unusual user activity. |
User activity alerts mentioned in admin/monitoring sections. |
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Rule Editor/Designer Graphical or scripting interface for rapid rule development. |
Rule editor/designer tool referenced for user-customized scenarios. | |
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Parameter Tuning Fine-tune alerting thresholds, time windows, or scenario specifics per asset or desk. |
Alert/parameter threshold tuning is a standard offering. | |
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Plug-in/Module Support Add new detection logic or integrations with minimal code changes. |
Plug-in/module support for extensibility mentioned. | |
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Custom Dashboard Widgets Create or modify dashboard elements for role-specific workflows. |
Custom dashboard widgets/configurable user views detailed in descriptions. | |
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Localization/Language Support Multi-language user interface and documentation. |
Multi-language support described for global compliance teams. |
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Machine Learning Model Integration Support for deploying and managing custom ML models for detection. |
Machine learning and model integration (AI-driven detection) highlighted as an advanced feature. | |
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Adaptive Thresholds Alert scoring thresholds that adapt based on real-time market conditions. |
Adaptive thresholding using real-time analytics is referenced in technical papers. | |
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Entity Profile Generation Autonomous generation and updating of trading entity behavioral profiles. |
Profile generation for entities/traders is part of anomaly and behavior analytics. | |
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Outlier Analysis Identification of uncommon or infrequent behavioral patterns. |
Outlier analysis for unusual trading behaviors forms part of advanced analytics. | |
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Explainable AI Features Transparency and interpretability of automated alerting models. |
Explainable AI modules referenced for regulatory transparency. | |
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Self-learning Algorithms Ability for algorithms to improve over time using feedback from investigators. |
Self-learning/AI that updates based on user feedback described in advanced ML features. |
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24/7 Technical Support Round-the-clock technical assistance for critical system issues. |
24/7 technical support availability widely referenced in SLAs and customer support materials. | |
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Dedicated Account Manager Named representative for ongoing client relationship and support. |
Dedicated account management offered to clients, based on vendor customer program details. | |
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Onboarding and Implementation Services Comprehensive support for system rollout, data migration, and testing. |
Full onboarding/implementation services included in vendor offerings. | |
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User Training Programs Initial and ongoing user training provided by vendor. |
Vendor provides ongoing and initial user training as part of implementation/annual services. | |
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Knowledge Base/Help Center Online repository of product guides, FAQs, and documentation. |
Online help center/knowledge base confirmed on vendor's website. | |
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SLAs (Service Level Agreements) Guaranteed support response and resolution times. |
SLAs and documented response/uptime/resolution commitments provided. |
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