For broker-dealers and intermediaries
Designed to maximize the efficiency of your regulatory operations
Comprehensive regulatory and compliance coverage across jurisdictions and asset classes
Evolve your compliance program as surveillance complexity increases.
Broker-dealer and intermediary coverage
Compliance teams in broker-dealers and other intermediaries face regulatory complexity, siloed data, and technical debt. Whether trading, agency execution, or clearing operations, they need flexible alert parameters fit for their jurisdiction, asset classes, and operational needs.
U.S. broker-dealers
Monitor for market manipulation as well as broker-dealer compliance with SEC, FINRA, exchange-specific rules, and more.
Clients use procedures to cover SEC series 10b prohibitions, Reg NMS order handing, Reg SHO, intermarket sweep orders (ISOs), FINRA Rule 2020 and 3110, Rule 15c3-5 post-trade surveillance, market making rules, and global market abuse requirements. Read more.
Futures commission merchants (FCMs)
Swap dealers
Robust supervisory procedures and risk controls for SEC and CFTC implementation of Dodd-Frank for Swap Dealer compliance.
Swap Dealer clients use procedures for cancellations and corrections, price fixing, washing trading, front running, pre-trade mid-mark requirements, along with the suite of manipulation alerts.
EMEA trading firms, market venues and brokers
APAC broker-dealers, trading firms and venues
Market manipulation
Full-suite of over 150 market manipulation procedures to defend against fraud and deceptive practices, like spoofing, layering, flashing, front running, and wash trading. Robust insider trading procedures include cross-product for equity options.
Supervisory procedures
Implement customized supervisory procedures for market making, limit/market held orders, limit order display, Manning rule, short sale restrictions, and more.
Exchange-specific rules
Clients operate globally, across markets on five continents and monitor for rules unique to their jurisdiction, such as for behaviors at opening/closing and message requirements.
Focus on actionable alerts
Broker-dealer compliance
Efficient coverage for equities, futures, fixed income and options
- Customizable alert parameters enable compliance teams to get to the risk quicker
- Automation resolves, on average, 90% of false positives, allowing analysts to focus on their core operations
- Deploy real-time or T+1, with connectivity to any major US equity exchange or market center and with 70+ integration points
- Eventus in-house expertise continually adapts software to shifting regulations and guidance
- Designed for clients to “buy-to-build” with customizable procedures and to break dependency on legacy systems that come with high maintenance and operational costs
“I am thrilled to announce the extension of our partnership with Eventus for the foreseeable future. Our journey with Eventus commenced in 2017 when Phillip Capital first discovered this innovative company. What immediately struck us was not only their cutting-edge technology but also their unwavering enthusiasm in every interaction. This initial encounter laid the foundation for a highly successful and productive partnership with Eventus.”
Filippo Lecchini, CEO, Philip Capital
Market surveillance and transparency
Future commission merchants (FCMs)
For FCMs, the preferred market surveillance solution
- Known and trusted by regulators and SROs and used successfully by clients during their CFTC licensing application process to satisfy market surveillance needs
- Covers all asset classes for firms trading in futures with suites for market manipulation, risk controls, and exchange-specific rules like CTI, CME Tag 50 /1028, and indicative opening price (IOP)
- Control your own surveillance with Eventus collaborative support and avoid the regulatory uncertainty and additional costs of outsourcing
Top market surveillance priorities for regulators
Prepare for tightening global trade monitoring regulations.
U.S.
The SEC, FINRA, and CFTC are focused on combating market abuse and ensuring compliance teams have the right trade surveillance capabilities tailored to their risk. These regulators explain their examination, investigation, and enforcement priorities.
EMEA
The UK’s Financial Conduct Authority (FCA) and the European Securities and Markets Authority (ESMA), along with national authorities, are combating market abuse with updated guidance and enforcement actions.
APAC
The Australian Securities & Investments Commission (ASIC), Monetary Authority of Singapore (MAS) and Hong Kong Securities and Futures Commission (HK SFC) each have different priorities for cracking down on market abuse.
Global coverage
Solutions for Europe, Middle East, Africa, and Asia-Pacific
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MAR and MiFID II
Market abuse coverage along with deep industry expertise and flexible parameters based on your risk assessment with an audit trail to document compliance for regulators -
International awards
Numerous Asia-Pacific and Europe RegTech awards for responsive, user-friendly software, and ability to surveil multiple asset-classes across various markets at scale -
Access to global data
Connects to market data providers and order management systems, along with a full service, simple methodology to ingest data in your format
