What is Market surveillance?
KRM22 Market Surveillance provides insightful analytics and contextual surveillance to help capital markets firms identify and manage the potential risks of market abuse, fraud and operational breaches.
Understand the Global Regulatory Regime
A comprehensive suite of market abuse alerts complying with all key regulatory requirements including MAR, REMIT, Dodd Frank Act and MAS. The alert library also includes a suite of operational alerts for the detection of unusual trading patterns. Our alerts are based on Central Limit Order Book and Request for Quote trading protocols.
Centralize Market Abuse Risk Management
Designed to be the compliance books of records system, Market Surveillance provides a central data repository to store all relevant records including alerts, commentaries and external documents.
See the Risk of Enforcement Actions
Simplified business intelligence tools, combined with ongoing audit and tracking, provides you with greater clarity on your exposure to enforcement actions. Take action to align your firm’s risk profile with the trading activity.
Alert and Inbox Management
The “alert inbox” shows users the generated alerts, updating in real time. The inbox is the entry point for day-to-day operations and allows users to associate alerts with a new or existing case or close with commentary. Read more +
Configuration and Scenario Analysis
User configurable alerts with an integrated sandbox functionality gives users unmatched capabilities to re-calibrate alerts, back test and undertake scenario analysis to reduce alert false positives. Read more +
Provides context on either the market or participant behaviour appropriate to the type of alert allowing the user to understand why the alert fired and aid them in identifying the appropriate next steps. Read more +
Case Management Workflow
The integrated case management system provides compliance teams with the ability to assign, track and manage cases. Read more +
Business Intelligence Dashboard
Provides system “health” information such as alert counts, aged analysis, data flow rates as well as ‘top 10’ pivots of alerts by client or product. Read more +
Provides the user with grid and graphical access to the transactional data as well as the ‘summarized’ time series data used by the alert calculations. Read more +
“We carried out a thorough review of surveillance capabilities in the marketplace and chose to partner with KRM22 because their platform offers a more complete solution not only for our current but also our future needs. “
Talk to us
Get in touch to find out more about how Market Surveillance can help you track abnormal trading behavior.