Regulatory & Compliance Monitoring

Increasing regulatory and compliance pressures are driving the demand for more specialised solutions which understand the nuances of their respective markets.

Our dynamic and robust monitoring solutions are in use in some of the world’s leading firms and provide our clients with enhanced automation and increased transparency which in turn dramatically reduces the burden of regulatory risk.

CubeWatch PL 

A comprehensive, real-time position limit monitoring solution which allows Front Office, Compliance and Risk to monitor position limit utilisation across the organisation in real-time.

  • Customisable, real-time dashboards, reporting and workflows to meet all Front Office, Compliance and Risk Management requirements;
  • Intelligent “walk forward” capability to alert traders and compliance to potential day ahead and week ahead “do nothing” style breaches;
  • Fully customizable “soft limits”;
  • Automated rules mapping – new instruments traded are automatically mapped to existing position limits;
  • Complex position aggregation logic for spread trades and diminishing balance trades;
  • Automated conversion of Options to futures equivalent positions;
  • Full exemptions management capability including alerts for expiring exemptions;
  • Daily true-up of live positions using validated broker statements;
  • Covers over 80 exchanges and regulatory regimes globally including, MiFID2 and CFTC for commodities;
  • Hard and soft limit alerts on-screen and via e-mail.

Cubewatch TS

A powerful, fully integrated, data-inclusive transaction surveillance solution with a leading-edge data analytics engine designed specifically for energy and commodities trading. Unlike most vendor surveillance solutions that originated from the financial services sector, CubeWatchTS is designed specifically for physical energy and commodity trading, and not just for financial instruments. Its unique analysis approach significantly reduces the number of false positive alerts, enabling leaner, more cost effective compliance functions while maintaining a high level of compliance confidence.

  • Comprehensive market abuse pattern library extending beyond MAR and REMIT pattern coverage;
  • Anonymised market trades and orders provided as standard, sourced from a market-leading data vendor and/or direct from exchanges;
  • Unique coverage of physical abuse scenarios such as Insider Trading, Physical Withholding and Capacity Hoarding;
  • Tick-level event replay capability across the full order book recreated by the solution;
  • Grouping functionality allows additional, full analytical analysis to be performed across virtually any group of dimensions including by venue, legal entity, desk etc.;
  • Deployed with pre-calibrated parameters and thresholds, many of which automatically adjust using Machine Learning principles;
  • Ad-hoc analysis runs for backtesting and calibration;
  • Alert history and associated parameter sets are stored in an immutable, auditable database;
  • Supports seamless integration with complimentary CubeLogic solutions such as CubeWatchPL for real-time Position Limit Management;
  • Allows multiple concurrent users and locations;
  • Alert visualisation through a user-configurable GUI providing finger-tip access to all information needed to perform detailed alert case analysis;
  • Full case management and workflow capability enabling STOR generation and tracking;
  • Intuitive alert Dashboard that guides users through the detected market abuse pattern through to transaction level.

With a full SaaS deployment option, the solution can be deployed quickly to ramp up transaction surveillance capabilities in preparation for any regulatory challenge. Read more.

CubeWatch SA

Sentiment tracking via monitoring of social media and other news sources. By collecting data in real-time we can automatically organise it, filter it, translate it, score it and weight it using extensive language libraries and state-of-the-art techniques in sentiment analysis.

 

  • Anticipate and proactively mitigate the impact of future credit risk events on the portfolio.
  • Model and monitor sentiment in real-time.
  • Latest market and sentiment data from Twitter, new organisations and online blogs.
  • Enter custom scoring criteria and other weighting preferences to further customise your data. Data Sources: Twitter, webhose, Glassdoor, Trustpilot.
  • Analyse live data via powerful, intuitive BI visualisations.
  • Go beyond the data available via financial statements or public rating agencies.
  • Reduce risks inherent in open positions by receiving up-to-date market information.
  • Get valuable insights into market events and geographical or climate related events.
  • Enables timely profit making or loss avoiding decisions.

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