Do your part to ensure safe, fair, and functional markets. No matter where you sit, we combine our powerful technology with diligent service and regulatory expertise to solve your most pressing trade surveillance challenges.
Buy Side
Helping asset managers, RIAs, and hedge funds navigate the accelerating pace of regulation with elegance and efficiency – and without adding headcount
Key Challenges
Surveilling increasingly complex and diverse markets while accounting for jurisdictional and asset class-specific rules, as well as increasing regulatory burdens overall
Overworked compliance teams juggling many responsibilities, limiting their ability to focus on trade surveillance
Increasing regulation with higher reporting, disclosure, and registration requirements
How We Solve Them
Rapid time to market for new manipulation filters and workflow features, so you can quickly and precisely identify illicit behavior in any market you may expand into
Cutting-edge tools that promote understanding and insight: monitoring interface with powerful drilldown capabilities, straightforward review workflows akin to clearing an email inbox, and smart alerts with plain-English explanations
The opportunity to trust trade surveillance to our platform and expert team, so you can allocate more resources to preparing for new regulatory requirements or pursuing strategic goals
Helping market makers, executing brokers, clearing brokers, and more surveil large trading volumes as they diversify and scale
Key Challenges
High volumes leading to large quantities of trade surveillance alerts (most of them false positives), overwhelming compliance teams
Multiple sources (OEMS platforms, market data, reference data, etc.) leading to discrepancies when evaluating post-trade data, reducing accuracy of surveillance
Exposure to a diverse range of markets and clients with varying business models and competing demands
How We Solve Them
Cloud-based platform, enabling rapid data processing and the scalability to manage terabytes of trading data
Powerful data normalization capabilities and easy order aggregation via a single point of access
In-depth trade surveillance that reduces false positives and enables granular trend analysis, fueling accuracy and productivity
Arming overburdened compliance teams with the technology and experience to perform comprehensive trade surveillance during a time of unprecedented regulatory scrutiny
Key Challenges
Monitoring the activity of an entire trading floor with minimal headcount and limited time and resources
Accurately detecting and mitigating manipulative behaviors before they cause downstream implications (with clearing, etc.)
The approaching deadline for the SEC’s expanded dealer definition, which will force many proprietary trading firms to register with FINRA for the first time
How We Solve Them
User-friendly experiences that safeguard productivity and promote understanding – easy monitoring interface, intuitive charting, familiar event inboxes, smart alerts, etc.
Hyper-accurate, in-depth detection that reduces false positives across an extensive range of manipulation categories, so your time is not wasted on compliant trading activity
Empathetic client service that combines regulatory expertise with firsthand proprietary trading experience, so you can prepare effectively for new regulations
Helping venues manage volumes and ensure the integrity of their products through an unparalleled combination of power and ease of use
Key Challenges
Extremely high volumes that can overwhelm even the largest and most experienced trade surveillance teams
Maintaining market continuity to encourage participation and protect all stakeholders from manipulative behaviors, including consumers of market data products
Exposure to a diverse client base with varying trading and business strategies and competing demands
How We Solve Them
Cloud-based architecture ensures scalability, while easy, familiar experiences fuel insight and accelerate workflows
Hyper-accurate manipulation filters across spoofing, layering, front-running, marking the close, insider trading, and beyond
Reduced false positives and granular trend analysis, making it easy to cut through the noise and address many different priorities
We know firsthand what’s needed from a technology and support perspective to create a culture of compliance. Our unique history and culture fuel our approach.
