Sybenetix for Market Surveillance and Compliance

CHALLENGE

Institutions and individuals face greater accountability for market surveillance and conduct management. Yet they have to do more with manual and slow processes that risk becoming obsolete in the face of regulatory pressure.

SOLUTION

Sybenetix Compass market surveillance software delivers the deeper, faster and unprecedented insight needed to identify unusual trading behaviour with higher levels of accuracy across the enterprise.

IMPACT

As a result, all trades are scrutinised, there is faster focus on high-risk traders and proactive management of reporting, response to regulators and reputation.

DECISION SUPPORT:

Decision Support

Real-time decision support tools automatically flag suspicious market activity with reduced false positives. Immediate review and investigation takes place within the dashboard, enabling teams to build a process of excellence for conduct management.

EBA PLATFORM:

Fast Scalable Analytics Engine

Behaviour Profiling Algorithms

Investment Processing

Market Activity Detection

Enterprise Behavioural Analytics Platform

Proprietary behaviour profiling algorithms provide insight to patterns of all individual investment activity and potential market abuse. Fast, deep analytics provide an
immediate view on potential misconduct.

TYPE OF DATA:

TRADING

USER

EXTERNAL

Data Sources

The System collects data on trading activities, personal data and external market data.

A NEW STANDARD FOR CONDUCT MANAGEMENT

Sybenetix Compass is enabling a new standard in compliance process and workflow resulting in unprecedented behavioural impact and outcomes.

Leading financial institutions are diving deeper into trading behaviour, investment teams are actively self-reporting activity, regulator enquiries have been investigated months in advance and reputation is enhanced, providing clear differentiation.

CONTACT US

Please contact us to discover how Sybenetix Compass can transform you conduct management.

Find out more

COMPASS CUSTOMER QUOTES

We now have proactive self-reporting to compliance before the next day flag has even been raised. This is completely unheard of behavioural change.

Group Head of Compliance

To date, since Compass went into production, every regulatory enquiry relating to trading we have received in the US, Europe and Asia had been predicted and flagged by Compass and had already been investigated by our Compliance team before the regulators request. 100% is extraordinary and far beyond our expectations

Head of Compliance

Compass is being used globally, this has become a collaborative tool and is setting a consistency of approach – it is setting a new standard of workflow and reporting. We have weekly team compliance (global) meetings to discuss new findings, new uses of data and this is now a major staff development drive. This is group learning in action and it is being driven by our CEO - it’s the thing that keeps him awake at night (insider dealing, fines, conduct, reputational risk.)

Compliance Officer

LATEST NEWS

Victoria Raffé joins Sybenetix Board

Victoria Raffé, the former FCA director of authorisation, has joined the Board of Sybenetix as a Non-Executive Director to support the company’s expansion of its RegTech and business performance solutions into new financial services segments and markets.

The role will see her draw on her extensive financial services, regulatory and FinTech experience, which includes existing directorships with Starling Bank and Growth Street.

“Victoria’s appointment is an important part of our growth plans,” said Taras Chaban, CEO and Co-Founder of Sybenetix. “The adoption of RegTech solutions is being enabled by greater collaboration between financial institutions, technology companies and regulators.”

May 17, 2017

Have rogue employees met their match in AI?

American Banker names Sybenetix alongside IBM and Digital Reasoning as one of the leading technology firms capable of using AI to uncover Market Abuse. Penny Crosman from AB goes on to state that Sybenetix helps compliance officers do their job better by speeding up the investigation process of suspected foul play whilst also making traders more aware they are being watched.

Penny Crosman writes that Sybenetix teaches its AI engine the specifics of each job, so it can create a model of normal behavior. This is used to create intelligent alerts for compliance officers, allowing them to ask smarter questions

May 15, 2017

AI on Demand

The finance sector stands on the brink of an explosion in front-to-back office uses of artificial intelligence and machine learning for the benefit of clients and investors, writes for Mike O’Hara from The Realization Group for Tabb Forum.

Sybenetix’s propriety Behaviourial Analytics Model combined with flexible, immediate access by firms is cited as an example of the ‘high-density compute power’ that is becoming business-critical. “We must process data on demand at critical points in decision making for compliance and investment managers, so we need compute power on demand,” says Taras Chaban, CEO of Sybenetix.

April 04, 2017

Contact Information

164/180 Union Street, London SE1 0LH, UK

Phone: +44 (0)203 176 2508

Email:info@sybenetix.com