Market surveillance is the prevention of illegal or manipulative trading practices throughout global security markets. This a common point of scrutiny for regulators across the globe. Thus, regulators aim for making organizations that fall under their supervision use automated market surveillance solution. Regulators are also increasing pressure on obliged entities by handing out more fines, brining forward enforcement actions, and applying more sanctions against firms who fail to comply with regulatory standards
Market surveillance programs can be a helpful way to aid financial institutions, brokers, and merchants in meeting the regulations set out by applicable laws and regulations, and avoid fines and damages to their reputation.
Table of Contents
Key TakeawaysCompliance Monitoring With A Surveillance SolutionInvestigation AnalyticsCase SupervisionAdvanced PrecisionSummary
Key Takeaways
Market surveillance is the investigation of illegal activities in security markets.The tools outlined can and should be used by businesses to meet compliance regulations and ensure compliance with regulators’ expecations.
With surveillance solutions available today, businesses can easily comply with regulatory obligations and demonstrate compliance in the financial industry to both clients and investors. The following features can be used as assistance to meeting requirements:
Compliance Monitoring With A Surveillance Solution
Programs available today can offer you consistent global coverage for fixed income, foreign exchange, futures, and options. This is one tool that can be used by businesses to avoid risk and meet requirements.
Investigation Analytics
Detection abilities from programs available can provide businesses with analytics and intelligence to increase the efficiency to detect suspicious activities. This detection helps organizations to avoid e.g., unnecessary penalties for non-compliance.
Case Supervision
Solutions to market surveillance usually incorporate a web-based case supervisor to manage alerts and investigations. This communication minimizes errors and cases falling in-between the cracks, increasing precision, and helps to meet obligations regarding record keeping requirements.
Advanced Precision
The market surveillance programs available help businesses to successfully identify false positive alerts and detect risky behavior. These market detection solutions can be beneficial for monitoring equities, futures and options, swaps, and many more trade possibilities.
Summary
In conclusion, market surveillance solutions can be beneficial to businesses and provide help for meeting industry regulations and therefore avoiding fines and punishments. These tools recommended can be a great help for minimizing risk.
