Intelligent Oversight: Trade and Market Surveillance for 2020 and Beyond

Compliance professionals can rest assured that providers are empowering the latest detection methods and robust surveillance protocols.

Boston, October 23, 2019 – Across the financial industry, a combination of new rules and organizational standards is quickly increasing regulatory and C-suite expectations of compliance professionals and associated investment personnel. Just as automation enables greater investment complexity, issues are compounding for firms wanting to keep pace with trading enhancements and rule changes. Fortunately, many providers can alleviate concerns and reduce this burden.

This report continues Aite Group’s analysis into the latest trends around the trade and market surveillance topic, and highlights areas of the business that surveillance technology providers are addressing as well as how solutions are evolving alongside industry developments. Based on data that Aite Group collected through a request-for-information process with 27 vendors of surveillance technologies in Q2 and Q3 2019, this report profiles ACA Trade Surveillance Technology, Altair Panopticon, Aquis Market Surveillance, BAE Systems Applied Intelligence, Bay Street Surveillance, Bloomberg Vault/BTCA, b-next CMC:eSuite, Cappitech, Digital Reasoning Conduct Surveillance, Eflow Global TZ, Eventus Systems Validus, Features Analytics eyeDES Surveillance, Ferdec TS, FIS Protegent, GMEX Group ForumDetect, Intellect Design Arena Ltd., Kx for Surveillance, Nasdaq Surveillance Solutions, Nice Actimize Trading and Market Surveillance, OneTick Surveillance, Rimes Technologies RegFocus Market Surveillance, S3 Trade Surveillance Suite, Scila Surveillance, Soteria, SteelEye Surveillance Suite, The Technancial Company Janus Suite, and Trading Technologies TT Score.

This 110-page Impact Report contains 54 figures and five tables. Clients of Aite Group’s Institutional Securities & Investments service can download this report, the corresponding charts, and the Executive Impact Deck.

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