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    SOLUTIONS | COMPLIANCE

    Always be one step ahead.

    Integrated transactional and E-Comms monitoring for more effective surveillance

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    KX SURVEILLANCE

    KX 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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    INTEGRATED TRADE & E-COMMS 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 behaviors across the trade lifecycle and the organization, that standalone alerts and static rules simply don’t catch. While many solution focuses on specific siloed 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 Surveillance is that solution.

    01

    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.

    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.

    COMPREHENSIVE E-COMMS

    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

    Machine Learning techniques are changing the surveillance methodology from being lag-indicator driven to lead-indicator driven where, like cybersecurity, 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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    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.

    Case Management

    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.

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