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 and meeting complex regulatory compliance demands. Firms must not only detect suspicious activity, but also proactively prevent risky behaviour – while balancing technological innovation, cost control and operational efficiency.

Data Intellect’s Surveillance and Supervision practice helps firms strengthen surveillance capabilities, enhance detection of market abuse, and improve confidence in meeting regulatory obligations. Our approach combines deep capital markets domain expertise with advanced analytics and industry-ready surveillance technology built on scalable data platforms.

What do we offer?

Surveillance Data Quality and Completeness

Accurate surveillance starts with clean, consistent, high-quality data. Our specialists assess and improve data feeds, ensuring venue usage, order and trade lineage, and other critical time series inputs are validated and complete. We integrate disparate sources so that surveillance controls and analytics work on trusted data.

Quant Workflows, Tooling and Analytics

We bring quant-driven methods and tooling familiar to trading floors into your surveillance ecosystem. This enables faster, more accurate detection of anomalous behaviour, improved pattern recognition, and stronger analytical workflows tailored to market abuse detection and risk-flagging.

System Health Checks, Roadmap Reviews and AI Adoption Guidance

Our structured reviews benchmark your current surveillance technology against best practice. We identify gaps, suggest optimisation opportunities, and help you adopt machine-assisted and AI-enabled analytics responsibly, ensuring alerts are correctly calibrated for your trading scope and risk profile.

Custom Surveillance Solutions

We engineer bespoke surveillance systems tailored to your organisation’s specific risk domains, whether detecting market abuse, unauthorised trading, insider trading patterns, quote stuffing or other misconduct. Using accelerators like our TorQ framework and deep software engineering expertise, we build solutions that integrate seamlessly with your existing capital markets technology stack.

Why Partner with Data Intellect?

Capital Markets Domain Expertise: Our team has extensive experience supporting leading investment banks, hedge funds and regulators, tackling sophisticated surveillance requirements with precision.
Technology-Driven Approach: We combine deep knowledge of vendor solutions, kdb+ time series analytics and quant tooling to deliver practical, scalable surveillance systems.
Tailored and Practical: We customise our engagement to your needs, ensuring that solutions meet your regulatory, risk and operational goals without unnecessary complexity.
Proactive Risk Detection: Beyond reactive alerts, we help you stay ahead of emerging threats with analytics, calibration and strategic guidance.

Delivering Comprehensive Surveillance Systems

Data Intellect has built and deployed full surveillance solutions across multiple risk domains, including market abuse, trader mandate violations and unauthorised activity. Our systems blend advanced analytics, behavioural signals and integrated data to provide coherent, actionable insights across regulatory use cases.

Building Comprehensive Surveillance Solutions for Modern Trading Ecosystems

Data Quality for Surveillance

In surveillance systems, data quality isn’t just about correctness—it’s about completeness, lineage and consistency, enabling analytics to flag genuine concerns without false positives caused by poor input. Our specialists work with your data pipelines to ensure trading venue feeds, order streams and reference information are properly validated and aligned with surveillance rulesets.

DIVE – Revolutionising Data Inflow in the Trading Data Ecosystems

Surveillance Technology We Work With

We leverage industry-accepted frameworks, accelerators and technologies—such as our TorQ framework and related tooling—to support scalable, high-performance surveillance systems that are maintainable and extensible for future regulatory and analytical needs.

TorQ: Data Ingestion for KDB+ Trading Systems

Trusted by the World’s Leading Financial Institutions

As the world’s largest kdb+ specialist consultancy, Data Intellect combines deep technology experience with capital markets domain knowledge to deliver surveillance, analytics and risk solutions that matter.

Frequently Asked Questions

What is financial services surveillance?

Financial services surveillance refers to the monitoring, detection and analysis of trading activity to identify market abuse, insider trading, illicit behaviour and compliance breaches in capital markets.

Do you build surveillance systems on kdb+ data platforms?

Yes. kdb+ and related time series technologies provide the performance and scalability needed to ingest high volumes of trading and market data for real-time surveillance analytics.

Can you help with regulatory compliance frameworks?

We support both first and second line risk functions, advising on system design, calibration and analytics to ensure surveillance frameworks align with regulatory expectations.

What industries do you serve?

While our core focus is capital markets and financial services, our surveillance expertise also applies to any data-intensive environment with similar analytical and risk-monitoring needs.

Let’s Talk About Your Surveillance Project

If you’re facing complex challenges in market abuse detection or need to modernise your regulatory surveillance systems, we can help. Speak with our experts to explore tailored surveillance solutions that improve your analytics capability and regulatory confidence.

Regulatory Surveillance and Supervision

Creating Regulatory Excellence in Markets

What do we offer?