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CMC:Suite from b-next
Modular compliance platform that includes trade surveillance, communications monitoring, and best execution analysis. Features include pattern recognition algorithms, transaction monitoring, real-time alerts, and comprehensive case management for fund managers.
Product analysis by function
Trade Surveillance Systems for Risk & Compliance
Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
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Core Surveillance Capabilities
(0 Yes /0 Known /11 Possible features)
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Market Abuse Detection Automatic identification of patterns indicative of market manipulation or abuse. |
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Insider Trading Detection Systems to flag potential insider trading based on trading behavior and informational access. |
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Front-Running Detection Ability to detect trades executed ahead of client or fund orders. |
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Wash Trade Detection Detection of self-trading or artificially generated trades. |
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Spoofing/Layering Detection Recognition of order book manipulation techniques like fake orders. |
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Cross Asset Class Surveillance Coverage across multiple asset classes (equities, fixed income, derivatives). |
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Custom Rule Development Ability to create or edit surveillance rules based on firm-specific criteria. |
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Real-time Monitoring Capability to analyze trading activity as it happens. |
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Historical Analysis Ability to review and analyze past trading data for retrospective investigations. |
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Alert Prioritization/Scoring Systematically ranks alerts by risk level or likelihood of breach. |
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Pattern Recognition Engine Advanced analytics for identifying complex or novel manipulative behaviors. |
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Data Management & Integration
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Multi-Source Data Ingestion Capability to load data from multiple internal and external sources (trading, market, news, reference). |
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Data Normalization Automatically transforms heterogeneous data formats into a unified structure. |
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Real-time Data Ingestion Speed Latency from data input to analysis. |
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Big Data Scalability Handles high volumes of transactions and market data without performance loss. |
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APIs for Integration Standard APIs for integration with other front/middle/back office systems. |
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Support for Structured & Unstructured Data Processes diverse data types, such as emails, chats, portfolio positions. |
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Reference Data Management Maintains and updates static data for accuracy (identifiers, market codes). |
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Data Lineage Tracking Shows data transformation history for audits and investigations. |
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Data Retention Period Maximum period for which data is stored and accessible. |
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Cloud Data Storage Support Option to store data securely in the cloud. |
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Regulatory Coverage & Updates
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Global Regulatory Rule Library Built-in rules for major regulations (e.g., MAR, MiFID II, Dodd-Frank, ASIC, HKMA). |
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Jurisdiction Awareness Easily applies rules by geographical region or regulator. |
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Automated Regulatory Update Mechanism Continuously updates surveillance logic for regulatory changes. |
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Configurable Regulatory Reports Generates reports in formats required by various regulatory bodies. |
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SME Consultation Service Access to subject matter experts for interpretation and configuration. |
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Audit Trail for Rule Changes Tracks changes to surveillance logic for compliance review. |
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Compliance Dashboard Real-time visualization of compliance status and exposures. |
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Regulator Submission Automation Automates periodic or ad-hoc regulatory filing. |
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Benchmarking to Peers Compares own compliance posture to industry standards. |
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Alert Management
(0 Yes /0 Known /9 Possible features)
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Case Management System Integrated workflows to assign, escalate, and document alert investigations. |
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Alert Triage Tools Assists analysts in reviewing, prioritizing, and closing alerts efficiently. |
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Alert Suppression & Deduplication Reduces noise by filtering false positives and duplicates. |
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Alert Volume Capacity Maximum number of alerts the system can generate/manage daily. |
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Workflow Customization Customizable investigation workflows to fit internal processes. |
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Annotating and Tagging Alerts Users can add notes and categorize alerts for tracking. |
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Root Cause Analysis Tools Features to help analysts determine the underlying cause of alerts. |
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Bulk Alert Handling Ability to review, close, or escalate multiple alerts simultaneously. |
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Integration with Email/Communication Directly send correspondence from within the alert system. |
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User Experience & Accessibility
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Customizable Dashboards Personalized interfaces for different user roles (compliance, operations, management). |
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Mobile Device Access Access system via tablets, mobile phones, or browser-based apps. |
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Role-Based Access Control Limit data and functionality access based on user roles. |
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Multi-language Support Available in multiple languages for global teams. |
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User Training Modules Embedded tutorials and guides for training new users. |
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Accessibility Features Supports users with disabilities (e.g., screen readers, keyboard navigation). |
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Query Builder for Non-technical Users Visual interface to create complex searches without coding. |
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Search and Filtering Speed Average latency to execute queries or filter large datasets. |
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Security & Privacy
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Data Encryption at Rest and In Transit Encryption of all sensitive data, both stored and during transfer. |
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Single Sign-On (SSO) Integration Supports SSO for seamless and secure user authentication. |
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Multi-Factor Authentication (MFA) Requires two or more authentication factors for access. |
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Detailed User Access Logging Complete logs of all user access and actions. |
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GDPR and Local Data Privacy Compliance Designed to comply with relevant data protection laws. |
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Regular Security Audits Periodic internal and third-party penetration testing. |
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Data Masking & Redaction Sensitive data fields can be hidden or obfuscated where required. |
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Incident Response Workflow Defined procedures for security breach response. |
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Reporting & Analytics
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Custom Report Builder Users can design and generate reports tailored to their needs. |
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Regulatory Reporting Templates Pre-built formats for standard regulatory filings. |
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Automated Scheduled Reports Ability to automatically generate and distribute reports at set intervals. |
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Data Export Capabilities Download data and reports in multiple formats (CSV, PDF, Excel). |
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Ad hoc Query Support Generate reports or data sets on the fly as needed. |
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Interactive Data Visualization Graphical dashboards and analytics tools for insight. |
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Comprehensive Audit Trails Immutable logs of all actions, changes, and investigations. |
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Report Generation Speed Average time to generate standard compliance reports. |
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Artificial Intelligence & Advanced Analytics
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Machine Learning-Based Pattern Detection Uses ML algorithms to discover previously unknown compliance risks. |
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Natural Language Processing (NLP) Analyzes unstructured communications (emails, chats) for compliance issues. |
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Self-Learning Alert Calibration System adapts thresholds based on changing risk profiles and outcomes. |
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Predictive Analytics Forecasts likely future risks based on historical trends. |
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Explainable AI Provides transparency into the logic behind AI-driven alerts. |
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Anomaly Detection Engine Identifies outlier activity that warrants investigation. |
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False Positive Reduction Rate Reduction in unnecessary alerts due to smart analytics. |
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Continuous Model Training System can update AI/ML models without manual intervention. |
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Deployment & Maintenance
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Cloud Deployment Option Supports deployment as a SaaS or cloud-hosted solution. |
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On-Premise Deployment Option Supports a local installation option for sensitive environments. |
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Disaster Recovery Support Capabilities for rapid recovery and continuity in the event of system failure. |
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Uptime/Availability SLA Level of guaranteed system uptime. |
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Zero-Downtime Upgrades System can be upgraded without interrupting service. |
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Automated Patch Management Automatic deployment of security patches and bug fixes. |
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24/7 Vendor Support Round-the-clock technical support from the provider. |
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Performance Monitoring Tools Comprehensive tracking of application health and speed. |
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Configurability & Extensibility
(0 Yes /0 Known /7 Possible features)
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Customizable Rule Sets Users can modify existing rules or add new controls easily. |
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Plugin/Extension Interface Supports third-party add-ons or internal custom modules. |
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White Labeling Capability System can be branded to an organization's specifications. |
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Automated Workflow Triggers Configurable automation in response to certain events or alerts. |
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Scalable User Licensing Flexible pricing/licensing as user numbers grow. |
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Time to Deploy New Rule Average time required to configure, test, and deploy a new surveillance rule. |
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Multi-Tenancy Support Supports multiple client entities in one deployment (for managed service providers). |
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Cost & Commercial Terms
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Transparent Fee Structure Clear upfront pricing with no hidden fees. |
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Modular Pricing Options Ability to choose/cost features à la carte. |
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Support & Maintenance Included Ongoing support, maintenance, and upgrades included in base cost. |
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Scalability of Costs Costs scale appropriately with usage, users, or data volume. |
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Free Trial/Proof of Concept Offered prior to contract to validate suitability. |
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Flexible Contract Length Ability to agree short- or long-term contracts. |
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Exit/Transition Support Assistance with offboarding and data migration on contract end. |
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