Trade execution process in the financial services industry has grown increasingly complex, while compliance mandates have broadened. Transaction costs have become more intricate and it is therefore essential to monitor and optimize execution quality to stay competitive and compliant.
A rigorous approach to monitoring and surveillance of trading activity that generates meaningful alerts, enables efficient investigation and analysis, and streamlines the ongoing management and reporting of relevant information holds the key to a firm's ability to meet more stringent regulatory expectations and achieve an operating environment that protects a firm's reputation and customers.
The proven capabilities of the Oracle Financial Services Trading Compliance for monitoring proprietary, employee, and institutional customer trading can serve as a cornerstone of a financial crime and compliance management strategy that also extends to Broker Compliance, Anti-Money Laundering, and Fraud.
Oracle Financial Services Trading Compliance uses sophisticated pattern recognition techniques to monitor trading and market making activities with respect to regulatory compliance, potential cases of market abuse, and requirement for "best execution."
The solution provides trade-by-trade visibility into interactions among traders and other market participants to identify potentially problematic practices and unauthorized or inferior order handling.
Oracle Financial Services Trading Compliance covers every trading currency, asset class, and global jurisdiction, in every time zone and involving various market structures. Additionally, it monitors mutual funds trading, employee trading, and investment advisor compliance.