Surveillance Manager

Enhance compliance, safeguard markets, and unleash excellence

Surveillance Manager provides insightful analytics and contextual surveillance to help capital markets firms identify and manage the potential risks of market abuse and operational breaches.

Key Benefits

Understand the global regulatory regime

A comprehensive suite of market abuse alerts complying with all key regulatory requirements including MAR, REMIT, Dodd Frank Act and MAS.

The alert library also includes a suite of operational alerts for the detection of unusual trading patterns. Our alerts are based on Central Limit Order Book and Request for Quote trading protocols.

Centralise market abuse risk management

Designed to be the compliance books of records system, Surveillance Manager provides a central data repository to store all relevant records including alerts, commentaries, and external documents.

See the risk of enforcement actions

Simplified business intelligence tools, combined with ongoing audit and tracking, provides you with greater clarity on your exposure to enforcement actions. Take action to align your firm’s risk profile with the trading activity.

Application Features

Alert and inbox management

The “alert inbox” shows users the generated alerts, updating in real-time. The inbox is the entry point for day-to-day operations and allows users to associate alerts with a new or existing case or close with commentary.

Configuration and scenario analysis

User configurable alerts with an integrated sandbox functionality gives users unmatched capabilities to re-calibrate alerts, back test and undertake scenario analysis to reduce alert false positives.

Alert details

Provides context on either the market or participant behaviour appropriate to the type of alert, allowing the user to understand why the alert fired and aid them in identifying the appropriate next steps.

Case management workflow

The integrated case management system provides compliance teams with the ability to assign, track and manage cases.

Business intelligence dashboard

Provides system health information such as alert counts, aged analysis, data flow rates as well as ‘top 10’ pivots of alerts by client or product.

Data explorer

Provides the user with grid and graphical access to the transactional data as well as the ‘summarized’ time series data used by the alert calculations.

What Our Clients Say

“Our desire is to provide a fair and orderly market which reflects accurate supply and demand. In order for the industry to mature, effective market monitoring is crucial. We are cooperating closely with KRM22 and will leverage their significant experience to provide a more robust and transparent trading venue for our customers.”

Global electronic marketplace for fixed income, derivatives, ETFs, and equities Chief Compliance Officer

Contact Us

Find out how we can help you with your trading and corporate risk challenges.