Trade Surveillance

Trade Surveillance

Trade surveillance monitors and analyzes trade activities to detect and prevent market abuse, fraud, and other illicit practices, ensuring market integrity and regulatory compliance. Authorities include regulatory bodies, financial institutions, and exchanges. Techniques employed encompass automated systems, real-time alerts, and post-trade analysis.

Market Abuse

Market abuse covers insider trading, market manipulation, and false reporting. Insider trading involves trading based on non-public information. Market manipulation involves creating false or misleading appearances of market activity. False reporting involves disseminating incorrect information to influence market prices.

Fraud Detection

Fraud detection encompasses detecting unauthorized trading, account manipulation, and fraudulent schemes. Unauthorized trading includes trading without account holder consent. Account manipulation involves altering account details to deceive. Fraudulent schemes include Ponzi schemes and phishing scams.

Regulatory Compliance

Regulatory compliance ensures adherence to financial regulations and standards. Key regulations include the Dodd-Frank Act, MiFID II, and Sarbanes-Oxley Act. Dodd-Frank mandates transparency and accountability in financial systems. MiFID II enhances market transparency and investor protection. Sarbanes-Oxley enforces accurate financial reporting and auditing.