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RegFocus℠ Market Surveillance

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Why choose RegFocus Market Surveillance?

A single solution to the regulatory challenges posed by current market manipulation and insider trading legislation, effective for use by both the sell and buy-side.

The aim of regulators around the world, including high profile bodies such as ESMA in Europe and the SEC, CFTC and FINRA in the US, is to protect market integrity and thereby increase investor confidence. As regulations have been strengthened in recent years regulators have used their additional powers to take more enforcement actions against market practitioners, imposing significant fines in the process.

The widening of regulatory scope to include financial instruments that were previously excluded as well as the extension of existing rules to cover the majority of financial transactions means that many more firms face the risk of failing to meet regulatory requirements and are required to meet new daunting compliance challenges.

Firms need effective compliance policies and a robust risk framework to identify market manipulation and insider trading, which for practical reasons need to include an automated trade surveillance capability. Such a system needs to:

  • Detect instances of actual or attempted market manipulation
  • Identify instances of potential insider dealing based on material non-public information or front running of client orders
  • Be able to be customised in order to focus on specific risk areas or instruments that are relevant to the type of business transacted by an individual firm
  • Have the ability to set and calibrate separate detection thresholds for the different models used to identify improper behaviour to ensure that genuine risks are identified.

Trade surveillance requirements have placed a significant burden on the oversight functions within firms, and increased the cost of compliance, particularly for firms that had previously relied on controls in place with third parties. Identifying market manipulation or insider dealing and carrying out investigations into trading activity is a major undertaking requiring people and technology resources. Download our brochure to discover an effective alternative to a costly in-house project or simply arrange a demo.

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