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Quantitative Trading Surveillance

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RegFocus℠ Market Surveillance: Quantitative Trading Surveillance

RIMES Technologies brings its award-winning data management expertise to the quantitative trading surveillance space to enable firms to reduce risk of market manipulation and insider dealing with confidence and clarity.

RegFocus℠ Market Surveillance sits at the intersection of expert data management, comprehensive trading and communication analytics, and full- service surveillance software to provide the single right tool for compliance and supervision. We provide a proven service to accommodate different business risk profiles across global markets and trading strategies.

We offer best-in-class market abuse surveillance analytics coupled with cutting-edge electronic and voice communication analytics to provide a single integrated surveillance platform for your monitoring needs.

 

 

Alerts

RegFocus℠ Market Surveillance includes an extensive library of alerts designed to identify market abuse.

Market Manipulation
Types of abusive behaviors, including:

  • Layering and Spoofing
  • Excessive Cancellation
  • Marking the Close
  • Quote Stuffing
  • Wash Trading
  • Wash Trading between funds
  • FX Fix Manipulation
  • Dominant Position

Insider Dealing
There are different alerts to identify where trading may have been based on the misuse of Material Non-Public Information (MNPI):

  • Trading ahead of a significant price move
  • Trading ahead of a ratings change
  • Trading ahead of a large order
  • Funds trading ahead of other funds
  • Trading in securities on watch and restricted lists
  • Personal account trading in restricted list instruments or ahead of in-house trades

 

 

RIMES | SOTERIA

RIMES and SOTERIA, a leading electronic and voice communication surveillance provider, have partnered to provide a single integrated surveillance platform for your monitoring needs. Together, we unify the two cornerstones of successful supervision and compliance programs through integrated trade and communications monitoring. The solution combines RIMES’ best-in-class RegFocusSM Market Surveillance service with SOTERIA, the leading communications surveillance platform, enabling firms to scientifically link communications and trading exceptions to identify suspicious activity and report to regulators. The service also drives efficiencies for firms by replacing manual data management processes with the automated framing of workflows between trade and communications systems.

 

Read the brochure:

RIMES-RegFocus-MS-Quant-Trading-Surveillance-Jan-2021-V2