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    SOLUTIONS | COMPLIANCE

    Always be
    one step ahead.

    KX FOR
    SURVEILLANCE

    KX for Surveillance enables financial institutions to instantly detect known trading violations like layering, spoofing or marking the close. Customers can calibrate their parameters in real time to improve their detection quality and accuracy.

     

    The flexibility of the historical database and replay engine eases retrospective investigation for new types of fraudulent behavior and suspicious activity.

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    CONSOLIDATED
    SURVEILLANCE

    Traditional black-box based compliance has had limited success in detecting fraud because its focus is too restrictive.

     

    While individual transactional analysis is important contextual analysis needs to survey a wider spectrum. It’s now accepted that detection is not just about individual systems and trades, it’s not just about fixed limits and parameters, it’s not just about siloed reports and audit trails – it’s about all the interactions, dependencies, changes, communications, patterns and behaviours across the trade lifecycle and the organization, that standalone alerts and static rules simply don’t catch. While many solution focus in specific aspects of data analysis (e.g. trade, voice, email), until now there has been no solution that can give true multi-factorial analysis across them all. KX for Surveillance is that solution.

    01

    Behavioral
    analytics
    libraries

    BEHAVIORAL ANALYTICS LIBRARIES

    The ability to create windowed views of larger datasets is baked into the programming language q. Our powerful window-join functionality enables users to contextualise easily between data tables over entirely customisable windows.

    02

    Multifactorial
    modelling

    MULTIFACTORIAL MODELLING

    Choose from hundreds of risk factors to build risk profiles and behavioral anomalies.

    03

    Incorporation
    of machine
    learning

    INCORPORATION OF MACHINE LEARNING

    Apply all major ML libraries for supervised and unsupervised learning.

    04

    Rich contextual
    investigation

    RICH CONTEXTUAL INVESTIGATION

    Bring to life investigations with dashboards and ad-hoc data mining.

    05

    Workflow and
    extensible open
    platform

    WORKFLOW AND EXTENSIBLE OPEN PLATFORM

    Extensive case management with an open platform for data modelling and investigation.

    Our 5 Key
    Characteristics 

    Our 5 Key
    Characteristics 

    CONSOLIDATED
    SURVEILLANCE
    AND SUPERVISION

    By aggregating data across multiple sources and disparate formats it enables contextual analysis, workflow, audit and transparency that not only ensures regulatory compliance, but also gives massive operational savings through fewer false positives and efficiency in ensuring risk controls are met.

    MACHINE LEARNING
    AND eCOMMS
    SURVEILLANCE

    Machine Learning techniques are changing the surveillance methodology from being lag-indicator driven to lead-indicator driven where, like cyber security, the focus is detection of intent and threat avoidance rather than after-the-event conviction when the financial and reputational damage has already been done. Machine Learning techniques like Natural Language Processing (NLP) can also be used in the investigation phases to parse documents, texts and other communications to uncover suspicious activity and assist in the prosecution phase by providing corroborating evidence.

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    KX for Surveillance – Combining Transactional and Behavioral Analysis

    KX offers solutions for both transactional and eComms surveillance that can be deployed separately or in combination on the same platform to instantly detect behavioral changes and known violations like layering, spoofing or marking the close.

    The advantages of amalgamating transactional and eComms data in a single unified platform include the ability to investigate and interrogate all sets of data in one place, greatly enhancing the detection and investigation of unauthorized trading activity.

    Click on the link below to read about using behaviour analytics to reduce financial crime.

    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.

    Flexible Alerts

    The CEP engine within KX for Surveillance enables instant detection of trends or patterns that may indicate market abuse, erroneous trading or malfunctioning algorithms. Flexible configuration of alert parameters and thresholds enables more accurate detection rates and comprehensive, easy-to-use market replay functionality further improves the efficiency of investigations. Some customers have reported the time taken to analyze potential breaches being reduced from months to minutes.

    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 for Surveillance was designed in collaboration with market participants to give analysts and business users a comprehensive view of relevant market activity.

    Related Resources