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RegFocus℠ Market Surveillance

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Why choose RegFocus Market Surveillance?

Surveillance is a Data Challenge

Regulations and market complexities continue to present a challenge for oversight functions within firms, increasing the cost of compliance for market participants of all scales and segments. Firms are required to monitor trading and communications for specific rule violations as well as identify overarching patterns of anomalous behavior. The burden of monitoring in a data-intensive environment is at a tipping point.

Identifying, monitoring, mapping and reporting on a broad range of data and behaviors is a major undertaking requiring people, technology and ongoing support. RIMES applies its best-in-class data management expertise to partner with clients to meet the challenge of surveillance. Is there an alternative path to traditional in-house or vendor approaches?

Increased Regulatory Focus on Insider Dealing and Market Manipulation

RIMES RegFocus℠ Market Surveillance offers a data-driven approach to surveillance that is both sustainable and cost-effective. Our service is designed to provide comprehensive insider dealing and market manipulation monitoring; core concerns of every compliance program.

  • EU Market Abuse regulation (MAR Reg. EU 596/2014)
  • MiFID II (Directive 2014/65/EU)
  • SEC Rule 10b-5
  • CFTC Rule 180.1
  • Dodd-Frank Act Sections 747 & 753

RIMES provides comprehensive monitoring of all covered financial instruments and asset classes across global jurisdictions. RIMES’ analytical models have wide-ranging capabilities, including detecting the following specified market abuse behaviors:

  • Front Running
  • Wash Trading
  • Layering
  • Spoofing
  • Excessive Cancellation
  • Marking the Close
  • Dominant Position
  • FX FIX Manipulation
  • Quote Stuffing
  • Trading on List

RegFocus℠ provides the functionality for EU firms to meet Suspicious Activity & Order Report (STOR) submission requirements upon identification of suspicious behavior.

Solution and Service Highlights

  • Guided calibration and self-service model tuning to tailor models to your unique risk profile
  • Comprehensive data coverage across covered asset classes and datasets
  • Full audio and electronic communications integration, including voice-to-text transcription, video chat, collaboration platforms, social media and text messaging
  • Consultative implementation approach and ongoing support from regulatory engineers and practitioners
  • Intuitive and flexible workflow for alert resolution
  • Straightforward list management to integrate sensitive data sets into model analysis
  • Powerful reporting and extraction capabilities to feed MI and ad hoc production needs
  • Functionality for EU firms to meet Suspicious Activity & Order Report (STOR) submission requirements upon identification of suspicious behavior.

Holistic Communications & Trade Surveillance

RIMES fully integrates with SOTERIA: the service marries trade and communication monitoring, to provide financial firms with best-in-class Market Manipulation and Insider Dealing Detection capabilities. Within RegFocus Market Surveillance, users can identify defined suspicious behaviors and patterns, which can be investigated fully using SOTERIA’s real-time communications capture and surveillance capabilities for all audio, video and electronic records.

RIMES RegFocus Market Surveillance: The award-winning solution that enables compliance teams to quickly investigate and manage potential market abuse scenarios. Download our brochure or arrange a demo to find out more about RIMES RegFocus℠.

Read the brochure:
RIMES-RegFocus-Market-Surveillance-May-2020