Brokerage Compliance Solutions | Institutional Surveillance

Actimize Institutional Surveillance solutions combine compliance risk controls, reporting and resources to automate and validate oversight.

	Deployed by top-tier global firms, including 8 of the top 10 US brokerages, for full coverage across all products

	100+ years of on-staff compliance expertise; clients in the Americas, Europe and Asia Pacific

	Hundreds of proven, peer-driven best practice detection models

Equities - Market Manipulation and Fair Dealing

Used by leading equity trading firms to address their supervision and surveillance requirements. Risk controls detect non-compliant equity, and trading and sales practice issues.

Fixed Income & Forex

Includes a suite of detection scenarios that address the surveillance requirements of firms trading in credit and structured products (both OTC and exchange traded). Provides a sophisticated set of rules to identify the “prevailing market” at each execution point and identifies potential illicit activity.

Futures & Commodities

Analyzes organizations’ futures and commodities dealings in their capacity as a Futures Commission Merchant, hedger, and/or speculator. Flags exceptions to each exchange’s rules and various principles-based global regulations.

Energy Trading

Monitors global trading activities to meet compliance oversight obligations across energy markets, including crude oil, refined products, natural gas, power, and more. Automates trade surveillance to address compliance issues and reduce regulatory inquiries, enforcement actions, and litigation expense.

Control Room

Detects and prevents the use / misuse of insider information. Identifies information breaches between an organization’s investment banking and research divisions. Provides behavior or pattern-based exception analysis that minimizes false positives and flags only the highest risk events.

Key benefits of Actimize Institutional Surveillance

Heightened regulatory scrutiny and increasingly heavy fines require securities firms to more closely monitor a broad range of products to identify non-compliance issues and record activities. To address this ongoing challenge, leading brokerage firms worldwide have trusted Actimize Institutional Surveillance solutions to:

	Comprehensively meet all regulatory requirements Implement industry leading, peer-driven detection logic, across all business lines and products including equities, fixed income, forex, futures, commodities, derivatives and more. Monitor all areas involving sales and trading practices, and address control room surveillance needs.

	Address trade surveillance requirements, globally Adhere to principles-based regulations, such as front running and wash transactions, as well as regional and exchange specific regulations, such as Marking the Close NYSE and Marking the Close LSE.

	Streamline investigations and improve efficiency Apply behavior analytics and advanced scoring algorithms to generate high quality alerts and fewer false positives, focusing analysts on the highest risk activities. Distribute workload efficiently, improve collaboration and conform to internal processes and workflow with a fully integrated, Web-based case manager.

	Reduce overall costs Use an integrated set of solutions built on a single platform to cover surveillance needs across all business areas - lowering data infrastructure, deployment, training, and support costs. Limit specialized IT support needs and give managers better insight into customer and employee behavior with easy-to-use supervisory tools.

Institutional Surveillance

Equities - Market Manipulation and Fair Dealing

Fixed Income & Forex

Futures & Commodities

Energy Trading

Control Room

Key benefits of Actimize Institutional Surveillance

Comprehensively meet all regulatory requirements

Address trade surveillance requirements, globally

Streamline investigations and improve efficiency

Reduce overall costs