Brokerage Compliance Solutions

Actimize provides global surveillance, supervision and compliance risk management solutions to detect, prevent, and deter non-compliant activities.

	Deployed by leading brokerage firms and regulators, such as Pershing and CFTC

	Backed by 100+ years of staff expertise across four continents, including former regulators and compliance officers

	Hundreds of proven models, providing end-to-end surveillance across the enterprise

Institutional Surveillance

Comprehensive compliance solutions for sales and trading practices and control room surveillance across all business lines and products. Provides scenario management for market manipulation and abuse, fair dealings with customers and insider trading. Includes specific tools for desk supervision and trade reporting practices.

Retail Surveillance

Addresses organization-wide compliance across a broad range of retail sales practices relating to Know Your Customer and Suitability requirements. Enables local and regional branch management to effectively delegate supervision across products and provides automated desk supervision with electronic access and sign-off on individual trades.

Fund Surveillance

Provides comprehensive compliance risk management solutions for fund/asset managers and hedge funds, monitoring trading activities and potential conflicts of interest across all cash market and derivative asset classes. Detects and prevents activities prohibited by law, regulation, and/or internal policies and procedures.

Employee Surveillance

Provides Conflicts of Interest and Rogue Trading detection. Completely automates the submission, review and approval process for employees’ personal trades, including post-trade reconciliation. Analyzes transactions against rules mapped to the organization’s employee trading policies and procedures.

MiFID Surveillance

Context-specific solutions to ensure complete compliance with the Markets in Financial Instruments Directive (MiFID). Addresses best execution, suitability, client order handling, transaction reporting and conflicts-of-interest.

Key Benefits of Actimize Brokerage Compliance Solutions

Financial institutions throughout the world and in every major regulatory jurisdiction have implemented Actimize Brokerage Compliance solutions to meet their growing compliance challenges. Retail and institutional brokerage firms, investment banks, hedge funds, asset and wealth management, and correspondent / clearing businesses are all able to:

	Ensure compliance across the globe Meet compliance regulations, initiatives and policies across the Americas, Europe and Asia Pacific with hundreds of proven detection models, designed in collaboration with Actimize experts and client practitioners from leading firms.

	Improve business process efficiency Enable investigators to focus on the highest risk activities. Reduce false positives, automate supervision and surveillance and streamline oversight and controls with centralized risk case management, powerful investigation tools and comprehensive reporting and auditing capabilities.

	Minimize total cost of ownership Deploy rapidly and meet unique workflow requirements with customizable detection models, built-in connectors and best practice implementation methodology. Achieve faster time to value and reduce overall data infrastructure, deployment, training and support costs.

	Adapt to meet changing business needs User-friendly controls and tools allow firms to fine-tune out-of-box rules and parameters, create new rules, and adapt logic and processing – with and without IT support. All solutions can be extended to fit specific business needs and the changing regulatory environment.

Brokerage Compliance Solutions

Institutional Surveillance

Retail Surveillance

Fund Surveillance

Employee Surveillance

MiFID Surveillance

Key Benefits of Actimize Brokerage Compliance Solutions

Ensure compliance across the globe

Improve business process efficiency

Minimize total cost of ownership

Adapt to meet changing business needs