Transactional and E-Comms monitoring
TRANSACTIONAL AND E-COMMS MONITORING INTEGRATED
Captures and analyzes massive amounts of information including but not limited to trades, quotes, orders, and market data, together with E-Comms and payments for Anti-money laundering (AML) monitoring – all on a single platform.
Choose from hundreds of risk factors to build risk profiles and behavioral anomalies.
INCORPORATION OF MACHINE LEARNING
Apply all major ML libraries for supervised and unsupervised learning.
RICH CONTEXTUAL INVESTIGATION
Bring to life investigations with dashboards and ad-hoc data mining.
WORKFLOW AND EXTENSIBLE OPEN PLATFORM
Extensive case management with an open platform for data modelling and investigation.
Consolidated Surveillance and Supervision
By scanning third-party data for users’ unknown behaviours, aggregating data across multiple sources and disparate formats, optimizing your process with automated risk analytics and transforming assumption into hard facts and figures. KX enables contextual analysis, workflow, audit and transparency that not only ensures regulatory compliance, but also delivers massive operational savings through fewer false positives and efficiency in ensuring risk controls are met.
Comprehensive E-Comms Surveillance
KX’s flexible infrastructure allows for broad capture of structured and unstructured data across, emails, chat applications (Reuters, Skype, Teams, Slack), online forums (Reddit), and voice. When coupled with trades, news, and other transactional activity, provide context and deeper insights into potentially suspicious activity that regulators now expect organizations to include in their oversight. This integrated approach allows for a unified end-to-end monitoring to mitigate risk and manage compliance demands.
Machine Learning Methodologies and Techniques
ML techniques are changing the surveillance methodology from being lag-indicator driven to lead-indicator driven where the focus is detection of intent and threat avoidance, rather than conviction when the financial and reputational damage has already been done. Machine Learning techniques like Natural Language Processing (NLP) can be used in the investigation phases to parse documents, texts and other comms to uncover suspicious activity and assist a prosecution by providing corroborating evidence.
KX PROVIDES THE FOLLOWING ADDITIONAL ADVANTAGES TO SUPPORT YOUR RISK MANAGEMENT AND COMPLIANCE STRATEGY
Dynamic Alerts Framework
Alerts Framework is a powerful and highly flexible engine using both real-time and historical data. Alerts are generated by analyzing events using out of the box or user defined models with configurable parameters. The Benchmark Framework automatically updates parameters within certain alert scenarios based upon region, product, trader, significantly reducing the operational overhead of configuring for different markets or regions.
Broad Regulatory Coverage
KX scenarios have been tested and proven over many years in some of the most challenging compliance environments. The extensive library of scenarios prepares organizations against potential cases of market abuse, insider trading, and broader financial crime before they happen.
KX has a flexible workflow tool to cater to your organization’s
surveillance business processes. This case management framework allows clients to easily customize their alerts and case management workflows, capturing additional key information such as emails, announcements or any other relevant files.
Backtesting and Market Replay
Regulators and bank compliance departments are dealing with ever increasing volumes of complex trading data which makes identifying anomalies difficult. With KX it is possible to backtest many years of trading data to efficiently calibrate scenarios and identify irregular behavior, minimizing false positives.
Multi Asset and Multi Market
The KX platform captures and consolidates all trading data (rates, trades, orders, news) for FX, credit, rates, commodities, equities and listed derivatives. Built on technology chosen by top global banks for their high frequency trading systems, KX Surveillance was designed in collaboration with market participants to give analysts and business users a comprehensive view of relevant market activity.