Better Trade Surveillance Compliance Starts Here

Trade Surveillance Manager enables the prevention, identification and investigation of abusive, manipulative and illegal trading practices to protect your firm.

COMPLIANCE BUILT BETTER™

Effective surveillance to understand potential trouble spots. Monitor investment activities to identify potential conflicts of interest and policy violations.

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Detect suspicious trading activity. Check for violations of the firm’s policy-based rules including checks for trade preclearance, excessive trading, large trades, unusual trading patterns and hold periods.

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Configure rules and workflows based on firm needs. Monitor and verify trades and create cases to investigate and document breeches.

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Alert

SUITABILITY

Make sure that transactions include required levels of personal data and that trades meet the risk tolerance and investment goals of the client.

Monitor

MARKET ABUSE AND INSIDER TRADING

Check for rogue practices that indicate insider trading and market abuse including spoofing, layering, marking the close, dumping, pricing and volume spikes, frontrunning and tailgating.

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SALES PRACTICES

Uncover unethical and illegal sales techniques including churning, account anomalies and unusual trading patterns.

Effective trade surveillance to identify insider trading and market abuse, detect suspicious trading patterns and policy violations.

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Capture firm and client trading data. Track firm and employee trading for insider trading, restricted & watch list breaches.

Prove to regulators that the firm has fair and transparent trading practices. Track and report on trends over time.

The platform is designed to be easily customizable to fit the unique needs and policies of different organizations.

Deal and Engagement Review Manager is part of MCO’s Know Your Transactions (KYT) solution suite.

Know Your Transactions (KYT) enables firms to address restricted trading, market manipulation, insider trading, customer suitability, fund mandate, anti-money laundering and other conflict scenarios on a single, integrated platform.

Post-Trade Monitoring of Firm Activity

MCO's Trade Surveillance Manager prevents, identifies, and investigates abusive, manipulative, and illegal trading practices by tracking firm trading activities to detect potential code of conduct violations and conflicts of interest. Effective monitoring empowers your compliance team to identify suspicious trading patterns, policy violations, and unethical sales practices.

Customizable rules and workflows, trade preclearance checks, and the ability to monitor for excessive trading, large trades, and unusual patterns ensures transactions meet client risk tolerance and investment goals, while detecting market abuse and insider trading.


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