Trading Verticals - Buy Side Trade Surveillance

​Protect your business from insider dealing and market manipulation

Insider dealing and market manipulation violations can shutter a hedge fund and cause irreparable damage to an asset manager or wealth manager's business. Expanding regulations and evolving business models have put the Buy Side in the crosshairs of regulators. Making matters more challenging, regulators are investing heavily in sophisticated technology to detect market abuse and pursue violators. Case in point: FINRA initiated a record 175 enforcement actions against private funds in 2016, 78 of them for insider dealing.

Protect your reputation and business with NICE Actimize. Our proven cloud and on-premises trade surveillance solutions, along with our team of compliance experts, will help you meet your regulatory obligations and instill confidence in investors. Which leaves you to focus on what really matters—performance and asset growth.

Benefits of NICE Actimize's Surveillance Solutions for Buy Side Firms

  • Protect your business with proven analytics that use news sentiment to more precisely detect insider trading
  • Detect watch list and restricted list violations with advanced algorithms
  • Easily detect a range of market manipulation across all asset classes including wash trades and price ramping
  • Efficiently execute investigations and generate audit trails to satisfy regulators and internal stakeholders
  • Meet regulatory obligations with solutions that support multiple regulatory jurisdictions, lines of business and asset classes​

​Trading Verticals

  • Hedge Funds
  • Asset Management
  • Wealth Management​​​​​​​​

White Paper

2017 Buy Side Trade Surveillance Handbook

Actionable advice for today’s Buy Side surveillance challenges