Financial institutions are under enormous pressure from regulators to implement effective surveillance programmes to protect against the misuse of material non-public information.

Most banks are not able to fully control access to confidential information and prevent opportunities for insider trading. They rely on manual processes that are weak, time-consuming and costly.

The surveillance solutions in use today produce too many alerts or are not sophisticated enough to identify situations in which behaviour indicates a deliberate attempt to avoid detection.

Designed in partnership with a major global investment bank, the GFT information barrier surveillance solution provides comprehensive global information barrier monitoring across equities, fixed income and listed derivative trading.

Why transform your business

Increasing regulatory demands

The potential regulatory exposure for a breach of insider trading laws is significant, supporting the need for a comprehensive solution.

Ineffective current state

Existing programs for broker-dealers that protect against the misuse of material non-public information (MNPI) are not sufficient, including gaps in automated surveillance, a lack of position trending and manually intensive processes.

Costly penalties

The SEC recently reported that in FY 2014, new investigative approaches and innovative use of data and analytical tools contributed to a record 755 enforcement actions with orders totalling $4.16 billion in disgorgement and penalties.

Failure to update trade and trader surveillance capabilities leave firms exposed to regulatory sanctions from the SEC and significant risk to their reputation.
GFT’s information barrier surveillance solution addresses this need, preparing the organisation’s data for use while offering one of the most accurate reviews of trading activity and potential unauthorised behaviour.
Alan Morley Regulatory Compliance & Surveillance Practice Lead

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Why choose GFT

GFT’s regulatory and compliance practice

We have worked with numerous global investment banks and large asset managers to address their market surveillance needs. The GFT information barrier surveillance solution benefits from years of experience in the regulatory and compliance space.

GFT’s information barrier technology

Our solution is the product of over two years of work by a global team of analysts, designers and engineers. Consisting of intelligent binary and trending detection model scenarios, it spans watch list, restricted list and research trading activity.

Standing out from the competition

Many information surveillance vendor solutions are proprietary and offer limited ways to make adjustments to handle unique trading environments or less-than-perfect data quality.

Information Surveillance

Big Data