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Trade Surveillance

Organizations involved in securities markets need to have a way to screen and spot illegal activities such as fraud, misuse of market information, detecting patterns of illegal behavior, and other such activities across various asset classes and financial instruments.  By putting measures in place, organizations can be proactive in investigating and preventing abusive and/or manipulative behavior or illegal trading practices in the securities markets. 

 

ComplyGenics can strengthen your Trade Surveillance program through the following services –

 In-depth analysis of your order books

  • Building comprehensive audit trails of orders and trades in suspected cases

  • Building a clear view of your asset classes across markets and developing a detailed analysis of activities

  • Developing specific programs for entities currently being investigated for suspicious activity

  • Activities could be broadly categorized as PreTrade, Market Abuse practices, Trade Violations, Market Surveillance, Post Trade, Insider Information, etc.

Contact Us

1100 Cornwall Rd. Ste. 205, Monmouth Junction NJ 08852

609-924-3400

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