Market Surveillance Monitoring -
A Global Challenge
Markets surveillance is a focal point of regulatory scrutiny. Regulators worldwide have become more aggressive in investigating and bringing enforcement actions, fines, and sanctions against firms with inadequate compliance procedures and systems.
The NICE Actimize Market Surveillance solution helps financial services institutions, broker/dealers and future commission merchants meet their regulatory obligations, avoid costly fines and preserve their reputation.
Efficiently monitors across full trade lifecycle with order and execution based models
NICE Actimize Market Surveillance software you can meet regulatory obligations, efficiently meet your regulatory requirements and demonstrate predictive, preventative compliance to regulators, clients and investors. Also respond quickly to regulatory and legal inquiries with these features:
Comprehensive Market Surveillance Compliance Monitoring
Broad, consistent global coverage via standard models for equities, fixed income, foreign exchange, swaps, futures and options.
Best in Class Market Surveillance Analytics
Out-of-the-box detection scenarios provide superior analytics that have been vetted by top tier global clients, industry professionals, and our team of seasoned subject matter experts. More than 12 years’ experience implementing OTC instrument market surveillance, including foreign exchange and swaps/OTC.
The NICE Actimize Market Surveillance solution incorporates NICE Actimize Risk Case Manager (ActOne), a fully integrated, web-based case manager for efficient alert management, ad hoc investigation, and audit trail functionality. Improve organizational communication and minimize redundant efforts, while meeting regulatory books and records obligations.
Advanced Market Visualization
Effectively identify false positives and detect trading abuse by displaying alerts together with market activity and firm transactions.