Brokerage Compliance Solutions

Actimize Fund Surveillance solutions monitor complex trading strategies across all cash market and derivative asset classes to detect and prevent improper activities.

	Combines proven analytics with out-of-the-box investigation and risk management capabilities

	Developed from 100+ combined years of in-house expertise and collaboration with leading clients

	Same technology recognized by top analysts and used by regulators and buy and sell-side institutions

Fund/Asset Management

Identifies irregularities and anomalies within activities across all accounts and funds under management for issues such as best execution, allocations, conflicts, window dressing, portfolio pumping, and more.

Hedge Fund Trading Compliance

Monitors complex trading strategies across cash market and derivative asset classes, exchange-traded and OTC, with a comprehensive suite of peer-driven, rules-based business scenarios providing coverage for market manipulation, securities fraud, deceptive practices, and more.

Key Benefits of Actimize Fund Surveillance

Fund/asset managers and hedge funds must establish effective, scalable compliance risk controls that connect-the-dots across investment strategies and ensure compliance with internal policies and procedures and ever-evolving regulations. Actimize Fund Surveillance solutions enable firms with complex, high-volume business models to:

	Meet fund/asset management and hedge fund compliance requirements Ensure timely identification of potential issues, including market abuse, insider trading, and conflicts between the firm, its employees, and its clients, with proven analytics and detection scenarios. Demonstrate compliance risk controls and trade supervision to regulators with built-in management and audit reporting capabilities.

	Prevent reputational and financial damage Establish effective trade monitoring with out-of-the-box analytics and configurable thresholds and scoring factors. Ensure compliance staff focuses on the highest risk activities with alert prioritization and intuitive case management functionality.

	Leverage proven compliance technology and expertise Partner with the leading compliance solutions provider, recognized by market analysts and chosen by market regulators and world-leading financial institutions. Utilize the solution developed from the insights of leading global firms and on-staff subject matter experts with 100+ years of combined sell-side and buy-side experience.

	Select flexible platform and deployment options Leverage the capabilities of the Actimize platform, providing flexibility and cost savings in data infrastructure, deployment, training, and support. Reduce the cost of in-house software operations and market data acquisition with multiple deployment options.

Fund Surveillance

Fund/Asset Management

Hedge Fund Trading Compliance

Key Benefits of Actimize Fund Surveillance

Meet fund/asset management and hedge fund compliance requirements

Prevent reputational and financial damage

Leverage proven compliance technology and expertise

Select flexible platform and deployment options