Take control over orders sent to the markets by adopting our responsive pre-trade module. The system offers platform agnostic design, exceptional operating performance and cross-asset class support. Gain the ability to simultaneously operate pre-trade in multiple jurisdictions world-wide.
ContentsProtect your firm from market manipulation, guard against erroneous trading and gain valuable customer friendly order flow intelligence. Our versatile real-time surveillance modules provide vigilant monitoring and alert escalation helping our customers detect and address suspicious trading activity.
ContentsFulfill your firm’s supervisory obligations with comprehensive and insightful end of day compliance reporting. Our system offers users a full set of standard compliance reports along with the tools to generate highly customizable business specific reports.
Contents
Pre-trade regulatory compliance management
Set compliance policy and standards
Enforce overall and individualized risk profile settings
Validate order parameters, messaging and message rate standards
Exceed performance expectations
Surveillance and compliance reporting
Achieve holistic view of trading environment
Isolate critical and key order behaviors
Real-time notice and alerts
Gain and give useful insight into trading activity
Multi source, cross-platform aggregation
Consolidate all order flow into one easy to use platform
Achieve transparency across all trading systems
Monitor aggregate P&L
Generate real-time alerts
Standardize and enhance trading system functionality
Market abuse and manipulative practices detection
Detect common manipulative order patterns
Build custom rules to address firm specific concerns
Unique algorithms to isolate market abuse patterns
Adaptive and self-learning tools to detect potential manipulative behavior
Real-time analysis and statistics
Perspective and granularity into order route
Gain advantage by discerning preferred order destination
Clear view into message rate statistics
Message type rate counts
Post-trade end-of-day compliance reporting
Fulfill post-trade compliance obligations
Supplement supervisory procedural reviews
Detail and preserve critical compliance data and reports
Create custom end-of-day reports to meet business needs
New and demanding regulation imposed on firms with direct market access has introduced significant compliance complexity and risk. Cost and technological challenges have further complicated this puzzle.
Succession is an independent compliance technology firm specializing in solutions to answer these demands. Our systematic approach arms compliance teams with a set of tools to verify orders, monitor trading limits, detect market abuse and document events.
Protect the firm’s reputation and avoid costly fines. Build a better culture of compliance. Attract, retain and empower your compliance staff. Provide more informed customer service. Gain greater visibility and analysis throughout the entire order chain.
“I believe the main challenge is trying to find the balance between the client and the safety of the organization.”...
Vladimir Pozdnyakov – Head of Risk & Liquidity Control, BCS Financial Group
“Appropriate pre-trade risk limits are the first level of defense against trading disasters,”...
Nick Garrow – Global Head XAE Societe Generale
“Compliance requires the consolidation of real time trading flows across many different trading technologies. A broker may have several different trading systems and the Market Access Risk Syste...
Anthony Masso – President/CEO Succession Systems
Robust, modular design enabling easy integration of key Succession components with existing third-party systems. Give your firm the flexibility to choose third-party trading vendors to suit changing business needs without compromising internal compliance procedures.
Work with our team to institute a trial and explore system capabilities to bridge your compliance gaps today.
Contact Us
