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For investment banks, market makers, brokers and commodities houses, the costs of failing to manage your regulatory, reputational and financial risk can be severe. Fines from regulators can run into millions.

Sanctions can suspend individual traders and entire trading desks for weeks, putting a significant dent in your trading profit. Reputational risk can have a disproportionate effect on your overall trading activity. The potential for lost business is significant, and once lost, a respected reputation is hard to regain.

You can also face direct financial loss as a result of inappropriate and illegal activity by rogue traders.

Regulators are making sure companies are monitoring their traders’ activity. If you aren’t showing your commitment to staying compliant, you are at risk of receiving a fine which could damage your organisation’s reputation.

We provide the derivatives industry with a surveillance tool, known as R3COGNITION WEB. Our product monitors trading and clearing data to identify transactions that breach specific exchange rules – ensuring your traders are managed effectively and your company’s trading is less exposed to risk from fraud and human error.

Using our solutions is a proactive approach which helps your compliance team protect your business and demonstrates to regulators that your firm is actively engaged in ongoing, effective monitoring and committed to meeting its compliance obligations.

R3COGNITION WEB is an easy-to-use, cost effective compliance tool, that mitigates regulatory risk, reduces the burden of monitoring, increases investigation efficiency and identifies key risk areas.

Key Features

  • Reduce the burden of your monitoring.
  • Mitigate your regulatory risk.
  • Easy to use trade surveillance system.

Key Benefits

Benefits from using the R3COGNITION WEB system

  • Proactively detect potentially abusive trader behaviour patterns and take remedial action.
  • Exchange-based rules identify and report inappropriate trades by exception.
  • Secure SaaS delivery model reduces time and cost of deployment and operation.
  • Avoid potential financial loss and reputational damage.

Product/Service details

User Suitability (Capital Markets & Investment Mgmt)
Asset Managers, Trading firms, Wealth Managers
Geographic Availability
Asia-Pacific, Europe, North America