Surveillance is a key requirement for firms to detect instances of market abuse and other forms of misconduct. Performing surveillance is costly, with high volumes of false positives consuming a large number of resources and very few real risks identified.
The surveillance landscape is changing. Increasing expectations from regulators, clients and the general public mean that firms will continuously need to focus on improving risk detection mechanisms. Emerging technology and improving data quality will have a key role in this.
Typical Operational Issues
Trader Surveillance Navigator
KPMG has leveraged its experience of working with clients around the globe to bring structure and clarity to this challenge.
The trader surveillance navigator embraces the key components of performing effective surveillance. Behind all of this sits defined benchmark standards and industry-wide knowledge of surveillance maturity.
The trader surveillance navigator rapidly provides clarity to the actions required to transform your surveillance operations.
Some of these key benefits include:
Policy and risk management
Process and controls
People and organization
Data, technology, and analytics
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