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RIMES RegFocus Market Surveillance from RIMES
End-to-end market surveillance solution with pre-built detection models for market abuse and insider dealing. Offers cross-asset class monitoring, real-time alerts, and case management functionality.
Product analysis by function
Trade Surveillance Systems for Compliance
Software that monitors trading activities to detect potential market abuse, insider trading, front-running, and other prohibited practices using pattern recognition and anomaly detection.
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Core Surveillance Capabilities
(0 Yes /0 Known /14 Possible features)
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Real-time Monitoring The system's ability to analyze and flag suspicious trades as they happen. |
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Post-trade Analysis Ability to conduct surveillance on completed trades for historical pattern detection. |
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Pattern Recognition Automated identification of market abuse patterns such as layering, spoofing, or wash trades. |
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Anomaly Detection Statistical or AI-driven alerting on behaviors that deviate from historical norms. |
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Alert Generation Automated creation of notifications for compliance team review on flagged activities. |
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Custom Rule Creation Ability for users to define, implement, and adjust surveillance rules. |
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Rule Library Pre-built rules for fast deployment and coverage of common compliance scenarios. |
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Case Management Tools for documenting, tracking, and managing compliance investigations. |
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False Positive Reduction Mechanisms to reduce erroneous or unnecessary alerts. |
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Alert Prioritization System to rank the importance and urgency of alerts based on risk. |
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Investigation Workflow Structured process for alert review, analysis, escalation, and resolution. |
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Audit Trail Comprehensive logging of user actions, rule changes, and investigations for compliance. |
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Real-time Data Ingest Rate The maximum number of trades or messages processed per second in real-time monitoring. |
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Historical Data Retention Period Time duration for which trade data is maintained for surveillance and investigations. |
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Market Abuse Detection
(0 Yes /0 Known /10 Possible features)
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Insider Trading Detection Ability to recognize trading activity that may be based on non-public, material information. |
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Front-running Detection Identification of personnel trading ahead of client or firm orders. |
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Spoofing/Layering Detection Detection of placing orders with intention to cancel to manipulate market appearance. |
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Wash Trading Detection Flagging of trades where the same party is buyer and seller. |
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Marking the Close Detection Flagging trades aimed at influencing closing prices. |
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Churning Detection Detection of excessive trading to generate commissions or fees. |
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Quote Stuffing Detection Identifies high volumes of order submission and cancellation to clog market data. |
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Reference Price Manipulation Detects attempts to distort benchmarks or reference prices. |
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Cross-market Manipulation Coverage Ability to correlate and detect abuse across multiple venues or asset classes. |
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Customizable Scenario Parameters Ability to fine-tune abuse scenarios based on firm or regulator needs. |
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Data Integration and Coverage
(0 Yes /0 Known /9 Possible features)
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Multi-Asset Class Support Support for equities, fixed income, options, futures, FX, crypto, etc. |
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Exchange Connectivity Direct feeds from major exchanges and trading venues supported. |
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Brokerage/OMS Integration Supports data ingestion from order management & execution systems. |
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Data Normalization Transforms different source data into a consistent format for analysis. |
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Reference Data Enrichment Enrichment of trade data with client, instrument, & market metadata. |
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Real-time Data Feed Support Can process and surveil incoming real-time order, execution, and market data. |
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Historical Data Import Bulk ingestion of legacy data for backtesting and lookback reviews. |
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Third-party Data Integration Ability to integrate with data from third-party vendors and regulators. |
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APIs for Data In/Out Public or private APIs for custom integrations to ingest/extract data. |
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Alert Management and Investigation Tools
(0 Yes /0 Known /10 Possible features)
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Alert Dashboard Centralized view of current and historical alerts with filtering and sorting. |
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Workflow Automation Automates assignment, tracking, and management of surveillance cases. |
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Investigation Notes Secure and timestamped note-taking for audits and reviews. |
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Attachment Handling Upload and attach evidence or documents to cases or alerts. |
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Audit Log Immutable record of all user and system actions related to cases. |
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Alert Escalation Workflow for raising the severity or assigning cases to higher authority. |
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Disposition Tracking Track final outcomes (dismissal, SAR filing, etc.) for audit purposes. |
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Bulk Alert Management Tools for actioning or closing batches of alerts efficiently. |
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Case Re-open Functionality Allows re-examination of closed cases if new information arises. |
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Integration with Email/Communication Platforms Send notifications, reminders, or extract communications as part of surveillance. |
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Reporting and Analytics
(0 Yes /0 Known /9 Possible features)
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Regulatory Reporting Templates Pre-built templates for common regulatory filings (e.g., SAR, STOR, MROS). |
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Custom Report Builder Allows users to generate custom reports using extensive data filters and pivots. |
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Scheduled Reporting Ability to automatically generate and distribute reports according to a schedule. |
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Interactive Dashboards Visualizations and key metrics about alerts, investigations, and trends. |
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Data Export Capability Export raw data or reports in CSV, Excel, PDF, or other formats. |
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Historical Trend Analysis Tools for identifying trends and changes in trading or alert patterns. |
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Management Information Reports KPI and MI tools for compliance and operations management. |
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Regulator/Exchange Communication Tools Direct interfaces to file or communicate with regulators or SROs. |
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On-demand Report Generation Speed Average time required to generate a standard report on demand. |
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Scalability and Performance
(0 Yes /0 Known /8 Possible features)
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Maximum Concurrent Users Number of users who can access and use the system simultaneously. |
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Event Processing Capacity Maximum number of events or trades surveilled per day. |
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Horizontal Scaling Support Ability to add compute nodes or instances to increase throughput on demand. |
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Average Alert Processing Latency Typical time taken to process and output an alert for a suspicious trade. |
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99th Percentile System Response Time System's response speed for 99% of requests/users. |
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Performance Monitoring Tools In-built tools for monitoring system load, latency, and resource utilization. |
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High Availability (HA) Architecture Implementation of redundancy, failover, and downtime minimization. |
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Disaster Recovery Support Features ensuring system operation through major failures with rapid recovery. |
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Compliance Coverage and Regulatory Support
(0 Yes /0 Known /6 Possible features)
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Multi-jurisdictional Support Coverage for rules and requirements across different geographies. |
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Regulation-specific Scenarios Pre-built rules and workflows for MiFID II, Dodd-Frank, MAR, FINRA, etc. |
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Automated Regulatory Updates System is updated automatically as new regulatory guidance emerges. |
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Audit Readiness Built-in features to simplify preparing for and supporting regulatory audits. |
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Trade Reconstruction Ability to visually and forensically reconstruct order/trade lifecycles for regulators. |
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Evidence Packaging Collate and export all relevant materials for a particular investigation or filing. |
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User Access, Roles, and Security
(0 Yes /0 Known /7 Possible features)
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Role-based Access Control Ability to define fine-grained user roles and permissions. |
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Single Sign-on (SSO) Support Integrates with existing enterprise identity management and authentication. |
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Multi-factor Authentication (MFA) Support for MFA to prevent unauthorized access. |
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Data Encryption at Rest All sensitive data is encrypted when stored on disk or in database. |
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Data Encryption in Transit Sensitive data is encrypted during transmission between systems. |
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Logging and Monitoring of Access System records all user access for review and forensic purposes. |
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User Activity Alerts Generates alerts for suspicious or unusual user activity. |
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Configurability and Extensibility
(0 Yes /0 Known /5 Possible features)
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Rule Editor/Designer Graphical or scripting interface for rapid rule development. |
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Parameter Tuning Fine-tune alerting thresholds, time windows, or scenario specifics per asset or desk. |
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Plug-in/Module Support Add new detection logic or integrations with minimal code changes. |
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Custom Dashboard Widgets Create or modify dashboard elements for role-specific workflows. |
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Localization/Language Support Multi-language user interface and documentation. |
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Machine Learning & Advanced Analytics
(0 Yes /0 Known /6 Possible features)
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Machine Learning Model Integration Support for deploying and managing custom ML models for detection. |
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Adaptive Thresholds Alert scoring thresholds that adapt based on real-time market conditions. |
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Entity Profile Generation Autonomous generation and updating of trading entity behavioral profiles. |
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Outlier Analysis Identification of uncommon or infrequent behavioral patterns. |
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Explainable AI Features Transparency and interpretability of automated alerting models. |
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Self-learning Algorithms Ability for algorithms to improve over time using feedback from investigators. |
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Support, Training, and Vendor Services
(0 Yes /0 Known /6 Possible features)
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24/7 Technical Support Round-the-clock technical assistance for critical system issues. |
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Dedicated Account Manager Named representative for ongoing client relationship and support. |
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Onboarding and Implementation Services Comprehensive support for system rollout, data migration, and testing. |
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User Training Programs Initial and ongoing user training provided by vendor. |
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Knowledge Base/Help Center Online repository of product guides, FAQs, and documentation. |
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SLAs (Service Level Agreements) Guaranteed support response and resolution times. |
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