Trade Surveillance & Market Abuse Solutions

  1. ComplianceAlpha RegTech Solutions
  2. Trade Surveillance & Market Abuse Solutions

Regulators use sophisticated technology to identify potential insider trading, market abuse, and other misconduct, resulting in record-breaking fines and enforcement. Our Market Abuse Surveillance Solution (formerly Decryptex®) provides automated, in-depth trade surveillance to help your firm identify potential misconduct and insider trading risk. Watch our video to learn more.

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Optimize firm-wide surveillance testing from our ComplianceAlpha® RegTech platform

Key features

Stay ahead of conduct risk while reducing false positives and improving outcomes. We offer a range of technology, support, and managed services packages to help your risk and compliance teams optimize firm-wide trade surveillance testing. Key features include:

Technology
  • Automates trade, position, and market surveillance from a single platform
  • Identifies items of interest (IOI) based on algorithmic searches across multiple liquid asset classes, including equities, derivatives, currencies, and fixed income
  • Allows you to conduct forensic portfolio testing after meetings with expert networks or issuers
  • Provides a case management system for documenting compliance investigations
  • Allows you to visualize and drill down your trading activity when compared to corporate actions, significant price movements, and important events such as meetings with expert networks or issuers or political intelligence research
  • Analyzes fairness in dealing across account allocation and execution
  • Provides for easy reporting for regulatory inquiries
Managed Services
  • Dedicated analysis of results from ACA's trade surveillance experts to eliminate false positives and reduce the workload for your team
  • Training on how to use the platform's sophisticated reporting and analytics functionality so you can build custom reports and dashboards to better visualize and analyze trading activity across your firm
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Featured RegTech insights

Key Takeaways from 1LoD’s Trade Surveillance Deep Dive Report 2021

Industry analyst 1LoD recently hosted a two-day Deep Dive on the future of trade surveillance. Attendees were from all over the globe and represented financial institutions (78%), technology firms (19%), and regulators (2%). ACA’s Michael Lehman, Partner and product manager for ACA’s Market Abuse Surveillance technology in ComplianceAlpha®, spoke at the event.

Report
  • RegTech
  • Trade Surveillance

Revisiting Best Practices for Trade and Market Abuse Surveillance (Downloadable Checklist)

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

Article
  • RegTech
  • COVID-19
  • Trade Surveillance

OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics

OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.

Compliance Alert
  • Compliance
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Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

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