Market misconduct such as insider trading, market manipulation, and price rigging continues to result in regulatory fines and criminal prosecution because perpetrators can outsmart, if only briefly, existing risk management processes.
Goals and Objectives
Identify and eliminate misconduct by addressing conduct vulnerabilities using intelligent technologies. Surveillance technology is capable of identifying behavioral risks across an organization as well as specific instances of actual or potential misconduct.
Artificial intelligence and machine learning
Use Case Summary
Firms leverage intelligent technologies to actively surveil potential avenues for misconduct, prioritize the outcomes, and assemble regulatory case files.