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AI & COMPLIANCE

Utilize machine learning to recognize trading patterns that may prompt regulatory inquiries and investigations.

TRADE SURVEILLANCE TECHNOLOGY

Get complete transparency into your firm's compliance risk and trader behavior with minimal effort.

Identify risk

Detect potential high-risk activity using advanced pattern recognition and flag hidden threats well before disaster strikes.

Avoid violations

Discover regulatory and compliance issues before violations happen, preventing fines and enforcement investigations.

Optimize operations

Examine profitability, cost drivers and industry-specific risk factors to incentivize behaviors and improve firm performance.

Detect anomalies

Find outlier events by understanding historical trends, environmental context and correlation within firm activity.

Compliance technology highlights

  • Pattern recognition based on machine learning identifies behaviors that pose the greatest regulatory risk to your firm.
  • Trained to recognize high-risk activity from actual regulatory cases and investigations.
  • Learns as it becomes exposed to new data to improve accuracy.
  • Adapts easily to new infrastructure, data sources and regulatory mandates.

SCORE

Machine learning technology identifies patterns of behavior that pose the greatest regulatory risk with unparalleled precision.

Cluster

Aggregate order message data into “clusters” of related intent to understand overall trader behavior, eliminating the need to sort through order actions.

Score

Automatically generate a “risk score” for each cluster that represents the similarity of new activity to activity that has drawn negative regulatory attention in the past.

Visualize

Illustrate the compliance risk of any firm cross-section, including trader, product or sales group, and take corrective action.

Investigate

Quickly analyze trader activity and its impact on other market participants.

SURVEILLANCE MODEL OVERVIEWS

Catch multiple types of potentially problematic activity.

Spoofing Similarity

Identify various forms of market abuse that involve false or misleading order activity known as spoofing.

Abusive Messaging Detection

Spot patterns of disruptive or excessive order activity.

Momentum Ignition Detection

Pinpoint behavior designed to initiate rapid market movement at the expense of other participants.

Pinging and Phishing Detection

Detect activity designed to take advantage of hidden volume at the expense of slower market participants.

Wash Trade Detection

Identify executions with no change in beneficial ownership.

Cross Trade Detection

Expose potential cross trades without sufficient delay between order entries.