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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