Solution introduction
Kaizen's Surveillance Solutions' provides trade and communications monitoring on one system
Surveillance solution that provides intelligent evidence gathering and data storage
Kaizen’s proprietary surveillance solutions provide trade and communications monitoring on one system to help middle office and compliance teams comply with market abuse regulations and detect spoofing, layering and other forms of market manipulation.
Demonstrate compliance to regulators
Our surveillance solution provides intelligent evidence gathering and data storage in compliance with SEC, FINRA and ESMA guidelines, as well as compliance with Market Abuse Regulations (MAR).
Online case management workflows help compliance teams resolve market abuse cases faster, while our policy and rules manager and evidence log provide alerts and an archive of supporting information.
Features
- Combined alerts to monitor trade and communications activity in one simple stream.
- Automated market abuse and insider trading detection.
- Policy and case management features.
- Multi-channel communications monitoring across chat, email and other forms of electronic communications.
- Drag and drop feature for a combined trade and communications data search feed.
- Functionality to email front office with questions and automatically capture responses in the same alert or case.
Key Data
Type of Clients
- Asset Managers
- Bank Wealth Managers
- Brokers/Broker-Dealers
- Digital Wealth Manager
Client Regional Presence
- Asia
- Eastern Europe
- Middle East
- North America
- Oceania
- Western Europe
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Surveillance Solutions
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