AI-FI Trade Surveillance

Easily Adapt to the Latest Regulatory Challenges
Monitor All Your Trading Activity, Like Never Before.

The revolutionary AI-FI Trade Surveillance solution changes the way your compliance team operates. For the first time, they can monitor 100% of your exchange traded derivatives to ensure regulatory adherence and mitigate reputational risk. 

Brokerages must deal with numerous sweeping trade compliance regulations, which are becoming more difficult to meet as the capital markets continue to increase in complexity, volume, velocity, and automation. These regulations result in increased demand on the time-consuming manual processes that support compliance and manage risk. Through the application of advanced technology, firms can drive down operational costs, improve analysis, and mitigate regulatory risks.

  • Surveil 100% of your trades and orders to automatically identify suspicious trading activity, protecting your company against compliance violations and reputational damage
  • Automate low-yield tasks with a sophisticated and adaptive tool that will allow your compliance team to adapt to the latest trading activity and regulatory requirements
  • Prioritize compliance alerts and allocate more of your compliance team's valuable time to trade conduct analysis

Alithya has developed an advanced trade surveillance solution to improve analysis and operational efficiency by streamlining the manual processes associated with monitoring high volumes of trade transactions.

Features include

Monitors all exchange traded derivatives trading
Case Management with configurable workflow
Compliance Engine with configurable rule parameters
Machine learning Alert Classifier with on-demand retraining
Online storage and backup of trades, orders, and alerts
Infrastructure free with web front-end
Services include

Public market data services
Private trade and order data services
Initial configuration - rule parameter setting
ML Alert classifier training and back testing
Business hour support
Annual alignment workshop
Pricing

Subscription per month and setup cost

Silver Gold Platinum

Silver

< 50K trades/month

  • 5 rules
  • Private orders and trades integration with MX
  • Market data feed integration
  • Default Case management workflow
  • 5 default alert details reports

Setup: $25K
Monthly: $1K per account
Monthly: $2200/ 10k trades

Gold

< 150K/trades/month

  • Includes all Silver features
  • 5 additional rules
  • All 10 rules can have logic customization
  • Customized case management workflow
  • 10 customized alert details reports
  • Trader and counterparty information enrichment

Setup: $50K 
Monthly: $1K per account
Monthly: $1700/10K trades

Platinum

> 150K/Trades/month 

  • Includes all Gold features
  • 5 additional rules
  • All 15 rules can have logic customization
  • 15 customized alert details reports

Setup: $75K
Monthly: $1K per account
Monthly: $1500/10K trades

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