OneTick Trade Surveillance is a comprehensive software solution designed to monitor, detect, and manage market abuse and compliance risks across global financial markets. It provides real-time and historical surveillance capabilities, supporting regulatory requirements for trading activities. The platform can be deployed on-premises or as a fully managed SaaS, and is used by brokers, asset managers, banks, and regulators to ensure compliance with regulations such as MAR, MiFID II, SEC, FINRA, CFTC, ASIC, and IIROC.

Key Features

Multi-Regulation Coverage Supports compliance with MAR, MiFID II, SEC, FINRA, CFTC, ASIC, IIROC, and more.

• Built-in alert types for various global regulations.
• Customizable logic for client-specific requirements.

Extensive Alert Library Detects a wide range of manipulative and abusive trading behaviors.

• Layering, spoofing, quote stuffing, wash trading, marking the close, and more.
• Parameterized alerts for tuning to specific trading flows.

Custom Alert Modeling Rapid design and deployment of custom surveillance alerts.

• Model construction tool for new alert definitions.
• Integration of custom alert types.

Scalable Architecture Handles large data volumes for major market participants and exchanges.

• Built on the OneTick tick database and stream processing platform.
• High performance and low total cost of ownership.

Efficient Workflow Management Streamlined investigation and resolution of alerts.

• Web-based dashboard for alert review, annotation, and archiving.
• Auditable resolution workflow for compliance teams.

Advanced Visualization Visual tools for analyzing order flow and market behavior.

• Graphical views of trading activity and alert triggers.
• Historical replay and case management.

Benefits

Regulatory Compliance Ensures adherence to global trade surveillance regulations.

• Reduces risk of regulatory breaches.
• Supports evolving compliance requirements.

Operational Efficiency Minimizes manual effort in alert investigation and workflow management.

• Reduces false positives with tunable alerts.
• Streamlines compliance operations.

Customizability and Flexibility Adapts to unique business and regulatory needs.

• Custom alert logic and parameters.
• Scalable deployment options (on-premises or SaaS).