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Regulatory Surveillance and Supervision

Creating Regulatory Excellence in Markets

In today’s rapidly evolving trading landscape, capital markets firms face unprecedented challenges in combating market abuse while ensuring compliance with increasingly-complex regulatory demands. Market participants must not only detect suspicious activity but also proactively prevent it—all while navigating technological innovation and budgetary pressures.

To address these pressing challenges, we are proud to launch our Regulatory Surveillance and Supervision Consulting Practice, bringing together expertise in trading data ecosystems, surveillance technology and regulatory challenges. This practice is designed to help stakeholders across both 1st and 2nd lines of defence to strengthen their systems, enhance operational efficiency, and ensure compliance with confidence.

What do we offer?

Data quality and completeness aligned to the scope of your trading

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Get on top of your business' venue usage through inventorisation and onboarding of trading venue data feeds into surveillance systems and controls. Our data experts, leveraging our validation engine, can ensure that data feeds meet the quality required to drive those controls and that ongoing quality monitoring is robust. We also provide data engineering to integrate other data sources and channels.

Quant workflows, tooling and analytics, to bring Surveillance functions up to speed with the trade floor

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New approaches to Surveillance are being adopted through the injection of trade-floor approaches into Surveillance systems and analytics. Data Intellect leverages its expertise in the trading data ecosystem and quant tooling to aid Surveillance functions in adopting quant approaches within the Regulatory context.

Technology value through system health checks, road map reviews and AI adoption guidance

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Structured reviews of Regulatory and Supervisory technology assets to benchmark, identify gaps and open up opportunities to drive better value from your investments, as well as to adopt AI responsibly. Structured calibration projects to ensure your alerting is appropriate calibrated to identify risks and minimise false negatives, and aligns to your trading scope.

Delivery of custom solutions to monitor your business, analyse risk and stay current.

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Engineering of surveillance and monitoring solutions tailored to your needs, leveraging Data Intellect’s accelerators, Surveillance SMEs and Software Engineering practice. Delivery of behavioural analytics and tooling to integrate disparate applications across regulatory and supervisory use cases to deliver a coherent answer to regulatory demands.

Why Partner with Us?

– Domain Expertise: Our team has extensive experience working with leading capital markets firms, regulatory bodies, and technology providers to tackle many of the hardest challenges in Surveillance.

– Technology-Driven: We bring deep expertise in vendor solutions and key technology platforms

– Tailored Solutions: Recognising that every organisation is unique, we customise our approach to align with your specific needs and challenges.

– Proactive Approach: We don’t just help you react to threats—we empower you to stay ahead of them.

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Building Comprehensive Surveillance Solutions

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In a recent project, DI built a Surveillance solution for a major Financial Services firm encompassing multiple risk domains, including: market abuse, unauthorised trading and trader mandate controls. Built on DI’s powerful open source TorQ framework, the system integrates seamlessly into the client’s ecosystem.

Building Comprehensive Surveillance Solutions for Modern Trading Ecosystems

Data Quality for Surveillance

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Data Quality for Surveillance doesn’t just concern ensuring the right type of data or the consistency of the data, it means validating that venue and order lineage are being appropriately tracked and managed to ensure completeness and appropriate risk coverage.

DIVE – Revolutionising Data Inflow in the Trading Data Ecosystems

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