Trade Exception Radar
Trade Monitoring and Regulatory Compliance Tool
NYSE Technologies Trade Exception Radar℠ is a fully hosted real-time post trade supervisory tool. It’s an easy-to-use, yet comprehensive tool that automates parts of the post-trade surveillance, compliance, and reporting workflow.
Trade Exception Radar is a low latency, highly configurable system that helps our clients address the following compliance challenges:
- Flagging patterns that could indicate manipulative trading.
- Collecting and analyzing trading patterns across separate systems. Trade Exception Radar integrates with any Order Management System (“OMS”), trading desk, or asset class. Full work flow and audit trials are readily available.
- Monitoring trading patterns in real-time. Most systems are limited to end-of-day notifications. With Trade Exception Radar, real-time exceptions are flagged for immediate resolution or escalation.
NYSE Technologies provides ongoing product updates designed to reflect regulatory changes.
Key Functionality
- Customization to handle such exception reports as odd lot, sell short validation, wash trade, duplicative orders, and more
- Interfaces with multiple OMSs
- Real-time ID and alerting of trade exception issues
- Easy-to-use front-end workstation, deployable across trading desks
- Full audit trail of user activity
- Fully serviced and support by NYSE Technologies
Helpful Links
Trade Exception Radar manages the complete workflow of monitoring trades to exception detection all the way to escalation:
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DISCLAIMER: USE OF THE PRODUCT DOES NOT GUARANTEE COMPLIANCE WITH REGULATORY REQUIREMENTS.