Order and Transaction Monitoring

The Compliance Application Frame provides user evaluations to the areas

• Securities,
• Derivatives,
• Ad-hoc Securities,
• Ad-hoc Derivatives,
• Ex-Post Securities,
• Ex-Post Derivatives.

These evaluations contain over 140 monitoring targets on the subject areas

• Customer monitoring
• Employee monitoring
• Investment banking monitoring.

Among the monitoring targets you will find

• Adhoc Persons, ISIN, Accounts, Issuers, Traders, …
• Barrier manipulation
• Big Points
• Churning
• Crossings
• Day Trading
• Front- und Parallel-Running
• Price agreements
• Compensation
• Pre Approval
• Restricted List
• Research
• Closing price manipulation
• Trades after IPO
• Wash Sales
• Watchlist
• …

The latest monitoring objectives also include questions on CDS credit default swaps.

All evaluations prepare the result sets mathematically statistically and risk-oriented, the user can concentrate on the transactions with the highest risk. In addition, the work instruction of the employee is always visible and available in each evaluation. The type and extent of execution of the work instruction can be recorded in the documentation (process documentation). Transactions and introduced measures can be documented in a risk-oriented manner and documented in a revision-proof manner (individual documentation). The bi-temporal database design ensures that monitoring objectives always open with the knowledge of the examiner (revision security).

Issues and knowledge arising after the audit are only taken into account within a new generation of results or automated ex-post generation.

If results from security evaluations are required in other applications, they can easily be exported to Excel or PDF format. All security evaluations are individually configurable by each user. The derivative module can be equipped with any number of monitoring targets.