Trade Surveillance Technology

ACA's Decryptex^® trade surveillance solution provides in-depth trade surveillance to help identify items of interest and non-compliant trading and investment activity. The system offers a case management tool that can track and store emails, reports, and research related to each investigation. With regulators adopting cutting-edge trading surveillance tools — and handing out record-breaking fines resulting from their discoveries — our surveillance technology will help you match their efforts and take control of your own trade data.

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Highlights

ACA Decryptex dashboard

Identifies items of interest based on algorithmic searches across multiple liquid asset classes, including equities, derivatives, currencies, and fixed income
Easily and efficiently performs trade, position, and market surveillance from a single platform
Provides a full case management system for documenting compliance investigations
Provides the ability to visualize and drill down your trading activity when compared to corporate actions
Allows you to toggle between an item of interest and its overlying portfolio to better qualify risk
Ability to separate the position of interest from other holdings

Provides easy reporting for regulatory inquiries
Accessible through ACA's ComplianceAlpha^® platform
Supports SAML 2.0 Single Sign-on (SSO), allowing you to use your existing SAML or ADFS (Active Directory Federation Service) identity provider to sign into Decryptex – eliminating the need for separate Decryptex accounts
Ability to perform actions (claim, assign, elevate, or resolve) on multiple Items of Interest (IOI) at once
Can integrate with ACA's NorthPoint Data Warehouse or a third-party provider to help ensure that trade surveillance search algorithms use consistent, high-quality data

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Benefits

Decryptex gives you the tools to better know and understand your data. It provides a full trading and market data monitoring solution that can:

Detect → Discover anomalous activity through algorithmic search

Investigate → Use forensic analysis and proprietary visualizations

Document → Drag and drop information into a full case management system

Resolve → Escalate or dismiss items of interest with confidence

SPOTLIGHT

ACA'S Holistic Surveillance Solution

Regulators globally continue to focus on identifying and punishing insider trading and other misconduct, and they are investing in developing and improving their own technology and data analytics capabilities to support this priority. In turn, the regulators expect firms to implement their own technology in order to remain vigilant and proactive, which places an additional burden on a firm's compliance function.

How We Help

Our holistic surveillance solution is a bundled offering that combines surveillance technology with human expertise to normalize data sets from multiple sources, run sophisticated analytics, and review the results with dedicated surveillance analysts to provide your firm with a complete, efficient, and holistic view of activity and behavior. The solution incorporates ACA’s Decryptex Trade Surveillance technology, Employee Compliance technology, electronic communications surveillance, expert network call chaperoning, and social media and online presence surveillance with white-glove support from ACA’s experienced compliance and surveillance specialists. By bundling these services together, your firm’s compliance team can leverage the benefits of ACA’s outsourced services and tech capabilities and get back valuable time to focus on more strategic tasks.

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