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.

Download the Holistic Surveillance factsheet to learn more

Holistic-Surveillance-SteelEye

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 -

Holistic Surveillance for Effective and Efficient Operational Supervision

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

The holistic surveillance platform brings together multidimensional data on a single, flexible platform with rich reporting, automated workflows and analytics that identify suspicious activity, quickly.

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Surveillance Algorithm Applicability

Answer these 10 questions to see which market abuse algorithms are relevant for your firm.

  • Question 1 of 10

    Do you have Direct Market Access?

  • Question 2 of 10

    Do you trade LME securities?

  • Question 3 of 10

    Does your trade flow include a mix of either client agency or prop trades?

  • Question 4 of 10

    Is there a risk of information leakage within your firm given high-touch trade-flow?

  • Question 5 of 10

    Do you maintain a Personal Account Dealing register?

  • Question 6 of 10

    Do you maintain any restricted or prohibited securities list?

  • Question 7 of 10

    Are you an Execution only broker?

  • Question 8 of 10

    Do you trade Fixed Income, illiquid equities or have any internal restrictions against maximum allowable times in which to retain a position in certain securities?

  • Question 9 of 10

    Are you a CFD/SpreadBet broker?

  • Question 10 of 10

    Do you trade Listed Products, Single Stock Equity Options, or Single Name CDS, Single Stock Equity CFDs, Single Stock SpreadBets?

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A Single Solution for Communications and Trade Surveillance

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 from across your entire portfolio, from order management systems, trading platforms, telecoms solutions and more – with the opportunity for in-depth analysis that wouldn’t otherwise be possible.

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

LEARN MORE ABOUT STEELEYE'S TRADE SURVEILLANCE

LEARN MORE ABOUT STEELEYE'S COMMUNICATIONS SURVEILLANCE

We capture:

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

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 the financial markets. Robust, secure record-keeping is a critical function for any firm competing 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 achieved, it is easy to share records with the regulator and prove that that data has been untampered with. With all data audited and securely achieved, it is easy to share records with the regulator and prove that that 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.
  • Also, since everything is documented and timestamped, it is easy to demonstrate that you have the policies and procedures in place for operational supervision. Also, since everything is 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 have even asked 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 have even asked 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.

Benefits of SteelEye's Holistic Surveillance:

Tailored Reporting for Better Analysis

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

Automated Detection & Monitoring

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

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, categorise 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

Trade Surveillance - Enhancements - Level 2
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