Market Conduct and Trade Surveillance
Our assessment and enhancement services can help you to respond to key industry challenges in the trade surveillance domain
Our team of subject matter experts perform assessment of your market conduct and trade surveillance framework to identify vulnerabilities and optimisation areas in governance, misconduct prevention and detection; hence enabling transformation towards a holistic and regulatory aligned approach.
We assist with investigations and lookbacks exercises to assess and mitigate potential exposures to misconduct and provide efficient and effective solutions.
Our solutions leverage advanced data analytics techniques, established frameworks and in-depth industry knowledge to ensure alignment with your strategic priorities.
Stricter Swiss and EU regulator requirements and increased complexity in regards to asset classes, trading venues and client service models.
Greater need of clarity for governance responsibilities and accountability including measurable KPIs across lines of defense.
Efficiency and Effectiveness balance
Large volumes of false positives leads to inefficiency of response time and potential failure to detect misconduct.
Quality of data management, mapping and completeness is becoming of higher importance with increase in trade activities and channels.
Effective and risk based trade surveillance framework addressing firm’s specific, key exposures to market misconduct risk and meeting regulatory requirements.
Enhanced detection capabilities through a holistic surveillance approach that produces fewer but more productive alerts with predictive value.
Efficient and streamlined trade alerts workflows to reduce workloads and ensure proper investigation and escalation.
- Customer and enterprise market conduct risk assessment to establish key risk indicators covering regulatory requirements and specific dimensions of the firm’s business model.
- Data management governance and architecture - data mapping, centralised unstructured and structured data repositories and quality assurance.
- Design and implementation of detection scenarios and related thresholds including model design, monitored data points, detection logic and factor weighting.
- Implementation of holistic approaches and systems for an integrated surveillance of trader communication and trade activity signals.
- Advanced analytics - data mining, behavioural analytics and machine learning techniques to optimize systems.
- Dedicated E-Comms and voice surveillance technology - text mining capabilities with lexicons specific for market abuse terminology.
- Workflows analysis and optimisation for review protocols, escalation processes, regulatory reporting and archiving.
- Centralized case management to streamline alerts investigation, escalation and reporting.
- Enhancement of organizational design - governance structure and internal controls including responsibilities and accountability across the three lines of defences, associated procedures and set up of quantifiable conduct KPIs.
- Training programs for compliance officers and front units.
- Thematic reviews and remediation of identified / potential misconduct events.
- Data visualisations and analytics to monitor, profile, review and process data and/or identify patterns around specific events.
Our regulatory aligned approach enabling an effective transformation of your market conduct framework
Our regulatory aligned approach for improvement of your trade surveillance programs and framework
Our approach to Forensic in Life Sciences
Utilising analytical solutions to identify false claims and recover payments at risk due to potential fraud, waste, and abuse.
What does this solve for?
- Enhancing detection and prevention of improper payments
- Maximising receipt of complete and accurate payments
- Promoting vigilance as claims are being paid, allowing for upkeep with accelerated pace
- Identifying inconsistency between virus “hot spots” and claim volume location.