2024 has been a milestone year for Surveyor. We launched key product enhancements, such as our new trends page and supervisor portal, as well as rolled out our new brand and website.
Spending significant time with our compliance practitioners on the event circuit has given us a lot to think about as we head into 2025. The growing sophistication of abusive trading practices, the rise of complex multi-asset strategies and ongoing resourcing challenges are keeping compliance teams up at night. So is increased regulatory scrutiny from the SEC and FINRA on fixed income and cross-asset manipulation. Despite their distinct roles, RIAs, broker-dealers, buy-side firms and other market participants are facing common challenges that manual trade surveillance simply isn’t able to meet.
Financial services firms across the board are seeking greater efficiency and accuracy in detecting abusive trading practices. Achieving these goals means using a trade surveillance platform that is as intuitive as it is comprehensive. We remain committed to enhancing our tools to meet these demands.
That commitment requires keeping our finger on the pulse of the industry. The outcome of this year’s presidential election is a sign of significant regulatory changes to come. With new SEC leadership poised to drive critical policy discussions, firms must prepare for new and perhaps unexpected shifts in compliance requirements – and adapt their strategies accordingly.
As we step into 2025, the Surveyor team is excited to leverage our expertise and partnerships to navigate these changes alongside our clients. With active plans to deepen our presence in fixed income and expand our crypto offering (more news on this soon!), we’ll continue to deliver cutting-edge solutions that keep pace with market trends and align with upcoming examination priorities. Staying informed, agile and proactive is more crucial now than ever, and we’re proud to serve as a trusted resource in that effort.
As always, we are grateful to you, our clients and partners, for your ongoing support and collaboration.
Wishing everyone a safe, happy, and healthy holiday season.
– Lisa Balter Saacks, President, Trillium Surveyor
Product Spotlight
Best Execution Analytics for Fixed Income
A complex, fragmented asset class like fixed income requires a higher level of sophistication to properly monitor.
Surveyor has identified key strategies that leading firms are using to strengthen their fixed income surveillance – particularly for challenging areas like illiquid munis and OTC trading – and built corresponding capabilities into our Best Execution Analytics solution.
Explore the following features:
- Enhanced reporting filters
- Full depth-of-book market data
- Customizable and intuitive visualizations
Read our latest blog for more on how Surveyor can help modernize your surveillance program and protect your fixed income desk amid regulatory scrutiny.
As always, we welcome your feedback on functionality, enhancements, and modifications to improve your experience with Surveyor. Reach out to support@trilliumsurveyor.com to start a conversation.
Where We’ve Been, Where We’re Going
2024 NSCP National Conference
This fall, our team flew south to Dallas for the NSCP National Conference, where we had the opportunity to showcase our platform to the wider compliance community.
We had a great time demonstrating how we can help RIAs optimize their resources and manage their advisors from a trade surveillance perspective.
FIA Futures and Options Expo
Before Thanksgiving we hit the Windy City for FIA’s Annual Futures and Options Expo. There we exchanged ideas with professionals who trade a wide variety of commodities and asset classes and met with national stock exchanges from around the globe.
As always, our signature orange caps were a huge hit on the event floor. Other highlights included sampling Chicago’s best Italian beef and attending a Blackhawks hockey game!
Looking Ahead
We’ll be attending the STA Chicago Mid-Winter Meeting on January 22-25. If you’ll be onsite or in town, be sure to say hello! Email Rob Cope to set up a meeting.
Crowdsource Corner
The holidays are nearly upon us, so we want to hear from you: What’s on your compliance wish list?
A: An extra team member to reduce workload strain
B: Surveillance coverage for trending asset classes like crypto
C: Training programs to enhance your team’s compliance expertise
D: Streamlined user experiences and dashboards with real-time insights
Cheers to 2025,
The Surveyor Team
