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Trading & Electronic Communications Surveillance in a Changing World

By Mike O’Hara, Special Correspondent. The ongoing necessity for many trading professionals to work from home has placed an additional burden on compliance teams struggling to ensure their firms play by the rules while staff operate away from designed-for-purpose trading floors. The situation has been a catalyst for change in how surveillance against financial crime…

SteelEye Teams with txtsmarter for Messaging Data Capture

Financial compliance and analytics specialist SteelEye is adding txtsmarter’s messaging capture and archiving capability to its communications surveillance solution, giving clients access to native messaging data sourced from Android SMS/MMS, WhatsApp and – uniquely – Apple iMessage, in real time. The combined solution adds mobile phone messages to the range of electronic communications that users…

A-Team Group Introduces 2021 Innovation Awards

Here at A-Team Group we have been working hard on plans to celebrate innovative projects and teams with the launch of our A-Team Innovation Awards. The awards are designed to reward teams that have found innovative ways to make use of new and emerging technologies to solve challenges at financial institutions in capital markets. The…

Eflow Pushes Performance of Trade Surveillance Platform with Refinitiv Market Data

Eflow, a London-based regulatory compliance firm, has added Refinitiv market data including tick history to its TZ trade surveillance platform. The data expands the company’s existing market data store and will increase the number of instruments and records available for testing in TZ. It will also strengthen the accuracy of any alerts generated. Refinitiv’s fast…

VoxSmart Launches Markets Segment to Focus on Trading Clients

Following on the heels of its recent partnership with Eventus Systems, and a $7 million Series B investment from NatWest earlier in the year, communications surveillance specialist VoxSmart has created a new Markets division to focus on serving the financial markets segment. The new segment will be dedicated to strengthening VoxSmart’s products and services for…

Trade Surveillance – Monitoring News and Social Media to Detect Insider Trading

By Helen Bevis, Head of Operations and Strategic Partnerships at SteelEye. To mitigate and manage the risk of insider trading, firms need to use the best tools to effectively identify, investigate and report on signs of wrongdoing. A key component of this is access to benchmark data, which for insider trading should include both news and…

Canada’s ITG Implements Cloud-Based Trade Surveillance from OneMarketData

Canadian brokerage Independent Trading Group (ITG) has implemented OneMarketData’s cloud-hosted OneTick Trade Surveillance solution to ensure compliance with regulatory monitoring requirements in the face of the surging volumes and volatility that have accompanied Covid-19 pandemic. According to Nick Savona, chief compliance officer at ITG, the brokerage outgrew its legacy PositionWatch system, which it continues to…

Recorded Webinar: How Financial Institutions can adjust to working in the New Normal

The very sudden impact of Covid-19 and resultant shutdown of physical sites has stress-tested financial institutions and vendors to their limits. Now banks and firms are slowly starting to re-open offices. But what will the new normal look like and what steps should you be taking now to make the most of this situation? This…

Verint and Cloud9 Partner on Voice Compliance Solution

Verint has teamed up with cloud-based communications specialist Cloud9 Technologies to launch a new compliant, cloud-enabled communications solution supporting traders both on the trading floor and remotely. Designed to provide increased flexibility as the industry continues to move to cloud-based platforms and work-from-home environments during and beyond the COVID-19 pandemic, the offering combines Cloud9’s C9…

Why Is Now the Time for the Financial Markets to Focus on Collaboration Compliance?

By Phil Fry, VP of Financial Compliance Product Strategy at Verint. The seismic impact of the pandemic has seen many banks and financial institutions ramp up their use of next-generation communication solutions, to assist their employees to work from home and alternative locations. During lockdowns, trades and client orders, that were traditionally executed at corporate sites, moved…