CAPITAL MARKETS COMPLIANCE
CMC specializes in providing regulatory guidance for firm that
offer securities products as well as bank requiring market risk
The ever-increasing number of regulations and an inherent lack
of clarity about what is required for a company to comply with
new legislation creates a need for holistic governance, risk and
compliance (GRC) solutions.
To enhance transparency of trade policy developments around the
world and to provide Members with an up-to-date picture of trends in
the implementation of trade restrictions, in particular in times of
economic crisis when protectionist pressures surge
Trade Surveillance System
Trade Surveillance System is designed for the Compliance Department
of an Investment Banker to detect and monitor irregular or suspicious
transaction behavior that may jeopardize the reputation of your
BROKERAGE & REGULATORY COMPLIANCE
Firms need compliance capabilities that detect, prevent and
deter non-compliant activities today, and offer the flexibility to
meet future regulatory compliance needs.
It describes the goal that corporations or public agencies aspire
to achieve in their efforts to ensure that personnel are aware of
and take steps to comply with relevant laws and regulations.
Software and services for the purpose of monitoring and
ensuring business activities and functions are in line with trading
regulations and laws enforced by various regulatory bodies.
Insider Compliance Solution
Employees working in global market environments such as
investment banks, corporate finance, research, and other
divisions will have non-public information about corporations.
This information can potentially lead to insider trading activities
for personal benefits.
Control the operational and technical status of the research and risk
Monitor the management of cases
Measure the duration and efficiency of the compliance measure
Use the compliance application
Detect the key area and distribution of compliance risks (money
laundering, fraud, financing of terrorism)
Energy trading surveillance
An energy trading compliance Web page or Intranet that allows
personnel to electronically access compliance policies, procedures and
manuals; request information or obtain updates on energy regulatory
developments; and seek guidance from the energy trading compliance
Defining market abuse, in the form of market manipulation, attempted
market manipulation and insider trading, in wholesale energy markets
and introducing explicit prohibitions of market manipulation, attempted
market manipulation and insider trading in wholesale energy markets.
Best Execution Monitoring
It is for multi-market participants, monitoring trading activities
over a given period as well as responding to queries about
specific orders and trades.
The Markets in Financial Instruments Directive (MiFID) is the
European Union’s answer to the need to regulate the ever-
growing investment market in Europe, and to protect investors
MARKET ABUSE TECHNOLOGY
Market Abuse Surveillance
Using the trade surveillance system, you should be able to spot any
irregularities in the equity, income and derivatives market, and also
ensure your business remains compliant. Non-compliance can lead to
cancellation of trade license.
Market Abuse Solution
Market Abuse is a powerful automated solution for surveillance of
attempted market abuse and market manipulation. It helps financial
institutions identify complex, dangerous trends and suspicious patterns.
Market Abuse Directive (MAD)
The MAD was implemented on 1 July 2005 and affects all firms and
individuals who participate in a regulated market. The specialist
handbook MAR includes our guidance on the application of the market
abuse regime. We have published a number of articles giving views on
market abuse issues in our publication, MarketWatch newsletter.
Address: 23 Austin Friars
London, EC2N 2QP
To know more visit: http://www.b-next.com