European Energy Market Regulations
Vendor: TriOptima http://www.trioptima.com Trade Surveillance We are aware of three trade surveillance solutions for commodities but there are many more for other asset classes that most likely will be made available for commodity market players use in time.
SunGard Protegent Protegent Surveillance helps market participants mitigate reputational, internal and regulatory risks. With Protegent Surveillance, firms can detect suspicious trading activity and address supervision and suitability requirements. The solution helps firms identify questionable transactions and high-‐risk positions, streamline review processes, support audits and respond quickly to regulatory and legal inquires. Protegent Surveillance helps firms detect a broad range of issues including commissions, concentration, suitability, licensing, breakpoints, market manipulation, AML, restricted holdings and insider trading activity. Deployment options include a full in-‐house implementation or a SunGard hosted ASP service module. Features • • • • • •
Identifies questionable transactions and positions Provides alert scoring with justification and auto escalation Supports issue resolution workflow using a robust alert management functionality Easily accessible web-‐based user interface Allows personal and shared watch lists Provides historical data snapshots and statistical reporting
Vendor: SunGard http://sungard.com/campaigns/fs/globaltrading/360trading/solutions/compliance/proteg entsurveillance.aspx
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