Improved Compliance and Reduced Risk for Major Capital Markets Division

challenge

Addressing Gaps in MNPI Management and Trade Surveillance

Our client, a top 10 domestic bank, needed a comprehensive control room solution for their capital markets division. They faced challenges in managing material non-public information (MNPI), monitoring personal investment policies and conducting effective trade surveillance. Their existing systems lacked real-time integration and sophisticated rules engines, making it difficult to identify and address potential policy violations and market manipulation scenarios promptly. This put them at a higher risk for regulatory scrutiny, so they needed a partner with experience in highly regulated industries to help streamline their control room operations.

solution

Tracking Watch List and Surveilling Trades

Our team built a robust, integrated platform to streamline our client’s control room operations. It included real-time MNPI and Watch List management integrated with their debt syndication pipeline, an advanced Personal Investment Policy (PIP) system to match trade confirmations with preclearance authorizations and identify potential violations and comprehensive trade surveillance capabilities for fixed income desk trades with sophisticated rules for detecting anomalous activities.

results

More Efficient and Robust Control Room Operations

Our software delivered a state-of-the-art control room solution that improved the bank’s capital markets compliance operations. The platform’s real-time integration, advanced rules engines and customizable dashboards significantly enhanced the bank’s ability to monitor personal trading, manage MNPI and detect potential market abuse. This not only improved regulatory compliance and reduced risk, but also streamlined workflows and increased operational efficiency across the capital markets division.

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Improved Compliance and Reduced Risk for Major Capital Markets Division

Addressing Gaps in MNPI Management and Trade Surveillance

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