Trade surveillance

Leveraging technology and domain expertise to enhance the capabilities of the Trade Surveillance function and enable teams to manage reputational and financial risk

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Overview on Trade Surveillance Compliance

Acuity Knowledge Partners’ (Acuity’s) trade surveillance services enables compliance teams to do more with less. We help our clients adhere to regulatory standards in addition to their own internal policies and procedures, and manage reputational and financial risk that could arise because of incorrect trades, market abuse or insider trading.

We help companies strengthen their trade surveillance compliance controls to reduce the risk of non-compliance. Our team of expert’s acts as an extension of the client team, helping them navigate short- and-long-term.

Our team of experts is tool-agnostic and has extensive experience in surveillance systems such as Bloomberg’s Transaction and Cost Analysis (BTCA), Nice Actimize, Nasdaq SMARTS, FIS Compliance Suite and Charles River, supporting a wide range of trade surveillance financial services. We offer end-to-end trade surveillance services with a strong understanding of global regulatory frameworks including SEC directives, MiFID II, MAR, MAD II, and CFTC guidelines.

Who we serve

Trade Surveillance Service support we offer

Reviewing and monitoring trade surveillance models

  • Front-running

  • Cross-trades

  • Wash trades

  • Spoofing and layering

  • Aggregate order allocation

  • Fair allocation

  • Best execution

  • Ramping

  • Marking the close

  • Quote stuffing

  • Large-order detection

  • Trade and volume concentration

  • Unusual trading activity

Reviewing and monitoring exceptions

  • Analysing alerts based on facts and intellectual processes

  • Conducting secondary quality checks to ensure sanity and accuracy of all processed alerts

Reporting breaches

  • Escalating any anomaly to the Compliance Advisory Team

  • Compliance Advisory Team investigating and analysing the escalated alerts

  • Sending a suspicious transaction report to the regulators to report a true alert

Validating and enhancing models

  • Helping to continuously test evolving models in line with regulators’ monitoring protocols

  • Helping to improve surveillance programmes focused on OTC products

Project support

  • Implementing new surveillance tools

  • Providing support during system migrations

  • Parallel testing of alerts

  • Conducting remedial activities

  • Forensic testing

Acuity Agent Fleet

Unveiling Acuity Agent Fleet, a deep domain specific Agentic AI platform for Banks, Asset Managers, and Private Equity houses

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How we are different

Experience
Experience
We implement industry best practices to create an efficient and robust process framework, ensuring a flawless and sustainable surveillance infrastructure.
Systems expertise
Systems expertise
We are tool-agnostic and are experienced in trade compliance systems such as Bloomberg’s Transaction and Cost Analysis (BTCA), Nice Actimize, Nasdaq SMARTS, FIS Compliance Suite and Charles River.
Technology-driven solutions
Technology-driven solutions
Our experts deploy modern technology to ensure superior analysis, efficient workflow and robust and auditable controls.
Process optimisation
Process optimisation
We conduct deep-dive analyses to design efficient trade surveillance operating models for gap analysis (in terms of regulatory changes) and incorporate the changes to make the solution more efficient and effective in any compliance environment.

What we have done

Support for Consulting and Corporate Firms
Trade Surveillance Services – For a Global Hedge Fund
What we are proud of

20K

alerts reviewed

USD 150K

saved in operating cost

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