JAMES WATT
Market Surveillance for Compliance - Detecting Market Abuse on Derivatives Markets
Sponsored by SMARTS
SMARTS, the world leader in market surveillance technology, will feature its leading market surveillance solution "Compliance Explorer." Market surveillance experts from SMARTS will demonstrate how advanced technology solutions can empower compliance officers with the necessary tools to monitor trading in derivatives for all forms of market abuse, and exchange rule breaches, and thereby minimize their regulatory and financial risk.
Features include:
- Breadth: Comprehensive coverage of all listed instruments
- Depth: Access to all market abuse alert scenarios (such as market manipulation and insider trading) and exchange specific alert scenarios (such as failure to issue RFQs)
- User friendly interface: Trade-by-trade and quote-by-quote market visualizations, with filtering at house, account and trader level to highlight unusual patterns of trading.
- Cross market functionality: Access to cross-market functionality which highlights unusual trading patterns between stock options/ futures and the underlying equity. For example, cross-market insider trading, whereby an insider may trade in put/call options prior to price sensitive announcement in underlying equity. Or cross market frontrunning whereby proprietary account trades in put/call options shortly ahead of large client trades on underlying equity.
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