A comprehensive, intelligent approach to regulatory compliance
JP Reis continues to champion a joined up approach to regulatory compliance. Regardless of seismic political upheaval, we believe that the smart money remains on working towards real-time surveillance of trading activity. There are 3 main reasons:
- Financial regulations apply to overseas counterparties in your country.
- Some financial misdemeanours are criminal rather than regulatory issues, with even higher penalties.
- Real-time intelligence can help protect against costly rogue activity. On the flip side, you can identify copybook positive activities too.
Our Unified Compliance service has evolved since its inception in 2014. We still perform emergency bulk recording retrievals among a range of E-Discovery activities but our focus is still on a holistic, strategic approach to compliance. Plug in and play trading surveillance platforms do not exist but we have assembled a unique panel of experts who can keep you compliant as you work towards real-time solutions. They include:
- Equipment vendors
- Quants analysts
- Computational linguistics experts
- Database and big data specialists
- Regulatory and legal advisors
- Project and program managers.
Every case differs based on your current technology portfolio and working practices. Contact us to see how our unique service offering could help you get the competitive edge.