The challenge

In the last five years, financial institutions have lost more than US$19 billion due to unauthorised trading and fines resulting from the failure to spot trading misconduct.

In an effort to safeguard these institutions from rogue behaviour and unauthorised trading, more and more complex regulatory obligations are being introduced. But whilst organisations are keen to remain compliant, actually keeping track of behaviour and watching for anomalies is a difficult and time consuming challenge.

Businesses are in need of a reliable, low cost, scalable solution they can trust to manage surveillance, run supporting operations and return accurate insights on a global scale.

Surveillance Grid is designed to proactively detect these anomalies and potential incidents of misconduct in order to significantly reduce the risk of non-compliance against regulatory standards. It can be tailored to your requirements, allowing you to monitor the specific risks of interest to you in both the first and second lines of defence.

Benefits

Reduces risk

Proactively monitor trader activity to help you comply with regulation requirements.

Increases operational effectiveness and efficiency

Monitor across all surveillance channels, including trade, audio and other communications (email and chat) in one platform.

Reduces false positives

Proven to reduce up to 65% false positives with the use of advanced machine learning and Deloitte methodologies.

Improves data quality

Helps generate a richer, consistent and accurate data set by running a series of processes designed to sanitise, cleanse and normalise all data sets.

De-risks key human dependency

Information is available to users with the appropriate rights, including an end to end workflow and approval process.

Benchmarks your surveillance capability

As more investment managers use the platform, a scoring system across activities allows you to receive a benchmark view across peers of your surveillance maturity.

Features

Range of apps covering first and second lines of defence

Breadth of functionality covering regulatory driven processes

Access to surveillance subject matter expertise

End to end workflow and case management capability

Automated alerting of misconduct or abusive behaviour

Connectivity and interoperability between apps sharing data

Secure data handling, storing and availability

Choice of hosting and delivery methods

Leverages artificial intelligence and machine learning

How it works

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