Overview on Trade Surveillance Compliance
Acuity Analytics trade surveillance services enables compliance teams to do more with less. We help our clients adhere to regulatory standards in addition to their own internal policies and procedures, and manage reputational and financial risk that could arise because of incorrect trades, market abuse or insider trading.
We help companies strengthen their trade surveillance compliance controls to reduce the risk of non-compliance. Our team of expert’s acts as an extension of the client team, helping them navigate short- and-long-term.
Our team of experts is tool-agnostic and has extensive experience in surveillance systems such as Bloomberg’s Transaction and Cost Analysis (BTCA), Nice Actimize, Nasdaq SMARTS, FIS Compliance Suite and Charles River, supporting a wide range of trade surveillance financial services. We offer end-to-end trade surveillance services with a strong understanding of global regulatory frameworks including SEC directives, MiFID II, MAR, MAD II, and CFTC guidelines.
Trade Surveillance Service Support We Offer
Reviewing and Monitoring Trade Surveillance Models
- Front-running
- Cross-trades
- Wash trades
- Spoofing and layering
- Aggregate order allocation
- Fair allocation
- Best execution
- Ramping
- Marking the close
- Quote stuffing
- Large-order detection
- Trade and volume concentration
- Unusual trading activity
Reviewing and Monitoring Exceptions
- Analysing alerts based on facts and intellectual processes
- Conducting secondary quality checks to ensure sanity and accuracy of all processed alerts
Reporting Breaches
- Escalating any anomaly to the Compliance Advisory Team
- Compliance Advisory Team investigating and analysing the escalated alerts
- Sending a suspicious transaction report to the regulators to report a true alert
Validating and Enhancing Models
- Helping to continuously test evolving models in line with regulators’ monitoring protocols
- Helping to improve surveillance programmes focused on OTC products
Project Support
- Implementing new surveillance tools
- Providing support during system migrations
- Parallel testing of alerts
- Conducting remedial activities
- Forensic testing
What Defines Us
Our Teams
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