Intelligent Oversight: Trade and Market Surveillance for 2021 and Beyond

Firms that select to internally source or use less-than-optimal trading surveillance are putting their firms at risk of harm.

Boston, June 3, 2021 – The siloed approach to trade, communication, and market surveillance has led to challenges in achieving transparency and data visibility across multiple venues and asset classes. This model of siloed surveillance is not sustainable in the long run. Going forward, firms will need to focus more on risk-based surveillance programs, increase the capability to link structured data with unstructured data to achieve a complete view of activity, develop models to build surveillance for new asset classes, and strive toward more automation in traditional alert-based surveillance programs.

This report highlights areas of the business that surveillance technology providers are addressing and how solutions are evolving alongside industry developments. It also addresses answers to relevant questions for those seeking a solution. It is based on data collected through a request-for-information process with 18 vendors of surveillance technologies. Data collection took place during Q3 and Q4 2020 and Q1 2021.

This 27-page Impact Report contains 14 figures and two tables. Clients of Aite Group’s Institutional Securities & Investments service can download this report, the corresponding charts, and the Executive Impact Deck.

This report mentions Abel Noser Solutions, ACA Compliance Group, BAE Systems, Bloomberg, b-next group, Eventus Systems, Features Analytics, FIS, GMEX, Intellect Design, Kx, List Group, Nasdaq, NICE Actimize, OneTick, S3 Matching Technologies, Scila AB, SteelEye, and TradingHub Group Limited.

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