Market Abuse Surveillance for Trade Monitoring

Market Abuse Surveillance refers to the technology and processes financial firms use to detect behaviors like insider trading, market manipulation, and misuse of material non-public information (MNPI). These capabilities are essential to maintaining market integrity, protecting investors, and complying with global regulatory requirements. 

We help firms comply with a wide range of global regulations, including:

• MiFID II and the EU and UK Market Abuse Regulations (MAR)
• Monetary Authority of Singapore (MAS)
• FINRA Rules 2010 and 3110
• SEC Rule 10b-5
• FCA SYSC
• CFTC requirements

Key features include:

• Out-of-the-box surveillance scenarios 
• Comprehensive product and asset class coverage 
• Integrated case management tools 
• Customizable reporting, audit trail, and news integration 
• Forensic simulation tools, customizable workflows, and write-once-read-many (WORM)-compliant storage for regulatory assurance. 

We use advanced analytics and surveillance models to continuously analyse trading behaviour and uncover complex, high-risk patterns across markets. Our system flags suspicious activities, including spoofing, layering, and front-running, in near real-time so compliance teams can act quickly. 

Our solution identifies a wide range of potential market abuse activities, including:

• Insider trading: Trading based on MNPI
• Market manipulation: Spoofing, layering, and quote stuffing
• Front-running: Trading ahead of client orders
• Churning: Excessive trading to generate commissions
• Fairness in dealing violations: Improper post-trade allocation

Yes. We provide cross-market surveillance across equities, fixed income, options, and derivatives. Our solution monitors activity across multiple trading venues and platforms to offer a comprehensive view of market abuse risk. 

ACA’s solution connects seamlessly to your firm’s infrastructure with secure, scalable integrations. It supports:

• Order and Execution Management Systems (OMS/EMS): Ingest trade and reference data for comprehensive monitoring.
• Market Data Platforms: Enable real-time surveillance across global markets.
• Secure Access: Single sign-on via SAML 2.0 for authentication.
• API Connectivity: Flexible integrations for custom workflows.

Yes. The platform scales to support growing trading volumes, additional asset classes, global team expansion, and increased user demand, while maintaining system performance and reliability.  

We monitor trading activity using algorithmic and machine learning models. Alerts are triggered when suspicious patterns are detected and are prioritized by severity, helping compliance teams address the most urgent risks first.

Yes. We offer full flexibility to tailor surveillance thresholds, filters, and risk parameters to match your trading strategy, regulatory obligations, and unique risk profile. 

Yes. Our built-in investigation workflows and case management tools automatically track every action taken—from alert generation to case assignment, communication logs, and final resolution, ensuring a defensible audit trail for regulators and internal oversight.

Yes. We offer customizable reporting tools that generate detailed, regulatory-ready reports. These can be used for internal investigations, external audits, or regulatory filings, with options for real-time export, scheduled delivery, and tailored formatting. 

Yes. Our solution is designed to be intuitive and efficient, with customizable dashboards, streamlined workflows, and easy-to-navigate interfaces that support daily compliance operations. 

We offer comprehensive support, including onboarding, training, technical support, and ongoing updates. We also provide consultation services to help you configure the system to meet your specific needs and regulatory requirements. 

By detecting and preventing market abuse early, our system helps reduce the risk of regulatory fines, reputational damage, and financial loss. It improves efficiency by minimizing false positives, reducing manual workload, and streamlining investigations, helping compliance teams focus on high-risk alerts.