Holistic Trade & Communications Surveillance

Delivering ROI x 2 - Return on Investment through robust Record Keeping, Oversight, and Intelligence

You need to identify and stop bad actors and rogue traders

Increased regulation and risk are compounding the burden on firms to implement policies and procedures to supervise their trading operations.

Firms need to proactively monitor their data to detect suspicious activity, market manipulation, or investor exploitation. However, this is difficult to do when data is fragmented and siloed solutions are used for trade and communications monitoring. 

If you fail to implement a supervisory system that can identify and stop threats, you risk significant reputational, operational, and financial implications.

To comply with FINRA, MAR, MiFIR, SEC and other rule sets, you need to have effective and efficient supervisory controls, with the ability to demonstrate that you have processes and procedures in place to detect and report market abuse. This requires a holistic approach.

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Holistic Surveillance for Effective and Efficient Operational Supervision

SteelEye provides a holistic surveillance solution that delivers simple, effective, and efficient supervisory controls – enabling compliance managers to exceed the expectations of global regulators. 

Our holistic surveillance platform brings all of your trade and communications data together so you can store, monitor, and manage it all in one place. This lets you examine data across your entire portfolio, from order management systems, trading platforms, telecom solutions, and more – with the opportunity for in-depth analysis that wouldn’t otherwise be possible. 

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Tailored reporting for better analysis

Create reports on a wide range of market behaviors – like spoofing, wash trades, front running, and pump and dump – for regulatory or audit purposes.

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Automated detection and monitoring

Our AI scans through all of your data, automatically flagging anything that could be harmful. You can customize these alerts or use pre-set triggers mapped to key market abuse behaviors.

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Enhanced business insight

With all of your data in one place, you get the opportunity for better insight through tailored analysis. You can also search, categorize and export your findings much easier, saving you time and money.

“We took the decision early on to automate as much of our compliance set up as possible. SteelEye enables us to do this, reducing the complexity of what can otherwise be an arduous and painful process. SteelEye is also one of the most cost-effective solutions we came across and very few other vendors offer the same breadth of regulatory compliance solutions.”

Aidan Brady, Chief Operating Officer, Ardent Financial

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SteelEye’s Holistic Surveillance Solution is built on three core layers-these are our core ROI tools:

Record Keeping

  • Robust, secure record keeping is a critical function for any firm competing in the financial markets. Robust, secure record keeping is a critical function for any firm competing in the financial markets.
  • We can integrate almost any dataset and store it in an immutable, WORM-compliant, secure platform to meet archiving, data retrieval, case management, and legal hold needs. We can integrate almost any dataset and store it in an immutable, WORM-compliant, secure platform to meet archiving, data retrieval, case management, and legal hold needs.
  • With all data audited and securely archived, it is easy to share records with regulators and prove that the data has been untampered with. With all data audited and securely archived, it is easy to share records with regulators and prove that the data has been untampered with.

Oversight

  • A dynamic user interface brings your data to life and enables teams to efficiently review, analyze, and understand the data they are responsible for. A dynamic user interface brings your data to life and enables teams to efficiently review, analyze, and understand the data they are responsible for.
  • Contextual data is used to reduce false positives, while increasing the information at your disposal to investigate real threats. This improves efficiency and allows compliance teams to focus on the alerts that matter. Contextual data is used to reduce false positives, while increasing the information at your disposal to investigate real threats. This improves efficiency and allows compliance teams to focus on the alerts that matter.
  • Additionally, with everything being documented and timestamped, it is easy to demonstrate that you have the policies and procedures in place for operational supervision. Additionally, with everything being documented and timestamped, it is easy to demonstrate that you have the policies and procedures in place for operational supervision.

Intelligence

  • SteelEye's holistic surveillance platform provides advanced analytics that serve relevant information from data – telling you what you need to know before you even ask the question. SteelEye's holistic surveillance platform provides advanced analytics that serve relevant information from data – telling you what you need to know before you even ask the question.
  • This means that compliance and operations teams don’t need to spend hours performing manual searches across disparate systems to gather basic facts. This means that compliance and operations teams don’t need to spend hours performing manual searches across disparate systems to gather basic facts.
  • The holistic surveillance solution gives you full visibility and control of your trading and compliance operations, with cutting-edge analytics that provide timely insights on risks and opportunities. The holistic surveillance solution gives you full visibility and control of your trading and compliance operations, with cutting-edge analytics that provide timely insights on risks and opportunities.

A Single Solution for Communications and Trade Surveillance

With complete control over your data, you’ll be able to react to challenges faster and smarter – giving you the competitive edge you need in today’s market. 

LEARN MORE ABOUT STEELEYE'S TRADE SURVEILLANCE

LEARN MORE ABOUT STEELEYE'S COMMUNICATIONS SURVEILLANCE

We capture:

  • Communications - from 50+ sources including Voice, WhatsApp, Zoom, and Bloomberg Chat

  • Trades & Orders - from any order management system or trading platform

  • Market Data - for more intelligent market abuse alerts, benchmarking, and insight

  • CRM & HR Data - or any other database you want to capture, compliantly archive, and/or monitor

Download the Holistic Surveillance factsheet to learn more

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Get factsheet to see how we can:

- Strengthen your market abuse detection -

- Improve your data analysis of trades and communications -

- Demonstrate continuous financial compliance -

- Automate essential processes to free up time -

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Latest News

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| 21 Nov 2022

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| 18 Nov 2022

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| 15 Nov 2022

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| 10 Nov 2022

SteelEye named Best Market Surveillance Tool by Waters for Third Year

| 04 Nov 2022

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| 27 Oct 2022
SteelEye Best Market-Surveillance Tool
Award Winning Solution

SteelEye was named the Best Market Surveillance Tool by Waters in the 2022 Buy-Side Technology Awards.

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