Holistic Surveillance

Traditional surveillance operations have considered trade and communication surveillance as separate activities. Recent lessons learnt from regulatory enforcement actions on market abuse behaviour has showed surveillance operations and systems when run in silos expose significant gaps in risk controls with the inability for firms to join the dots to unravel increasingly complex trading behaviour.

During this era of remote working under COVID-19 there is a significant heightened risk on surveillance operations to monitor trading activities remotely even more diligently. The need for a fresh and innovative approach to surveillance solution is essential to safeguard the growing reputational risk to firms and of senior managers falling under the new SM & CR accountability regime.  

KRM22’s Global Risk Platform provides applications to help you address your firm’s regulatory, market, technology and operations risk challenges and to manage your entire enterprise risk profile. KRM22 is a public Group listed on AIM and headquartered in London, with offices in several of the world’s major financial centers.

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