Fintech Surveillance across Multinational Exchanges

As a global financial partner, this British multinational banking and financial services company contribute to combating market abuse and insider dealing through its Group Control Room.

This specialist compliance function provides guidance on information controls and acts as a central clearing house for transaction-related conflict of interests.

Ensuring compliance with Market Abuse and Dodd Frank regulations covering trade surveillance, control room, and private banking is critical.

After a lengthy evaluation across 15 vendors, 3 vendors were short listed; KX, Nasdaq SMARTS and Oracle Mantas.