Trading Surveillance

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MetricStream Insider Trading Surveillance Software Solution

Most organizations face lot of challenges in monitoring and managing insider trading activities. The lack of a robust and automated system often calls for human intervention in reviewing and flagging illegal trades . In such circumstances, there is always a potential risk of fraud or human error . The absence of trading activity details provided directly to organizations by broker-dealers could lead to employees not disclosing their trading accounts or trades. This again could lead to violations of insider trading regulations or policies.

MetricStream provides a fully-automated trading surveillance solution that can monitor and track insider trading activities in real time, thus ensuring compliance with insider trading regulations or insider trading policies. The system has the ability to integrate with multiple trading related transaction feeds from various broker-dealers. These feeds are continuously checked for violations against the list shared by the organization. The solution also provides automated trade approvals (pre-clearance) before execution.

Key Features

Benefits of the Solution

  • Helps ensure compliance with federal regulations, SEC rules and internal policies
  • Provides transparency into the entire process of trading surveillance
  • Generates standardized reports for all regulatory requirements

Product/Service details

User Suitability (Capital Markets & Investment)
Wealth Managers, Wealth Managers
Geographic Availability
North America, North America