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.
Detect potential high-risk activity using advanced pattern recognition and flag hidden threats well before disaster strikes.
Discover regulatory and compliance issues before violations happen, preventing fines and enforcement investigations.
Examine profitability, cost drivers and industry-specific risk factors to incentivize behaviors and improve firm performance.
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.
Machine learning technology identifies patterns of behavior that pose the greatest regulatory risk with unparalleled precision.
Aggregate order message data into “clusters” of related intent to understand overall trader behavior, eliminating the need to sort through order actions.
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.
Illustrate the compliance risk of any firm cross-section, including trader, product or sales group, and take corrective action.
Quickly analyze trader activity and its impact on other market participants.
SURVEILLANCE MODEL OVERVIEWS
Catch multiple types of potentially problematic activity.
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.