FIS® Market Surveillance Manager is a sophisticated market abuse monitoring system that offers a unique blend of comprehensive, off-the-shelf functionality with the adaptability typically found in custom-built technology. It provides a robust and extensive out-of-the-box rule library, meticulously developed based on years of deep industry experience in financial markets. This solution is designed to be user-friendly, allowing authorized personnel to easily view, edit, and extend the rule library, as well as fine-tune the application and calibrate rules to effectively meet evolving regulatory and business requirements. The system empowers financial institutions to take a proactive and bold approach to market abuse monitoring by addressing critical concerns such as market manipulation and insider dealing. It significantly improves the efficiency of compliance staff by reducing false positives and generating more meaningful results through advanced calibration tools and flexible business logic editing capabilities. Furthermore, the Market Surveillance Manager enables multi-jurisdictional analysis, allowing users to perform comprehensive surveillance across various markets and asset classes from a single solution, all while maintaining strict Chinese Walls and adhering to unique jurisdictional requirements. This comprehensive approach ultimately increases confidence in compliance efforts, enabling organizations to respond quickly and effectively to regulatory inquiries and audits. The solution is instrumental in identifying market integrity issues, safeguarding businesses, and ensuring adherence to complex financial regulations.

Features & Benefits

• Adaptable Off-the-Shelf Solution
  • Combines the benefits of a comprehensive, ready-to-use system with the flexibility and customizability of bespoke technology.
• Extensive Out-of-the-Box Rule Library
  • Delivers a robust and extensive library of rules, built on years of industry experience, which is easy to view, edit, and extend.
• Efficient Compliance Operations
  • Improves the efficiency of compliance staff by reducing false positives and producing meaningful results through advanced calibration tools and business logic editing capabilities.
• Multi-Jurisdictional & Cross-Asset Analysis
  • Enables comprehensive analysis across various markets and asset classes from a single solution, while maintaining Chinese Walls and adhering to unique jurisdictional requirements.
• Enhanced Regulatory Confidence
  • Facilitates quick and effective responses to regulatory inquiries and audits, increasing overall confidence in compliance posture.