Capital Markets

Capital Markets Services

Comprised of surveillance and risk business and technology experts with many years of experience, the matrix-ifs capital markets practice delivers quality solutions to global financial institutions under tight deadlines and budgets

Trade surveillance and trading compliance have been hot topics for much of the modern era of financial markets. It seems however that in the past years and specifically since the 2008 financial crisis it simply refuses to get off the headlines. Weekly and daily cases of rogue traders, illicit usage of inside information,  benchmark manipulation cases and plain fraud are a constant habitants of the financial news. The vast complexity of the financial markets, instruments, and trading facilities, combined with the unprecedented power of modern technology, present a real and unique regulatory challenge to the industry.

To help financial institutions address their challenges most efficiently and cost-effectively, Matrix-International Financial Services developed a unique methodology to deliver practical, creative and achievable solutions. We approach each project with a pragmatic assessment of operational, technology, and budget constraints; agile and transparent project management methodology; and a can-do attitude.

Global investment banks and securities houses turn to Matrix-IFS to manage their ever-increasing regulatory challenges. Our services are compatible with global requirements and support the latest EMEA, APAC, and U.S. mandates, including Dodd-Frank, Volcker rule, MAD II, and MiFID II. We offer a full range of Trade and Brokerage Surveillance advisory and system integration services:

  • Strategy, Risk Assessment, Analysis and Design
  • System Implementation, Enhancement, Tuning and Optimization
  • Documentation, Training, and Regulatory Review Preparation
  • Customization, Visualization, Business Intelligence and Proactive Investigation Tools
  • Data Sourcing, Market Data Integration, Data Strategy and Data Quality Assurance
  • Support & Managed Services
  • Look to Matrix International Financial Services for expert consulting, systems development and implementation services specific to Capital Markets, including:
  • Trade Lifecycle Monitoring
  • Position Surveillance
  • Regulatory Reporting
  • Risk Case Management
  • Managed Monitoring & Support
  • Financial Investigation Units
  • E-Comm and Voice Monitoring
  • We have extensive expertise and experience covering end-to-end activities required in designing and implementing effective surveillance and trading monitoring program capabilities, in real-time and batch.

 

Matrix-IFS also specializes in helping banks and securities firms address standardization and regulations covering OTC markets, black pools, MTFs, OTFs, and voice and E-COMM including email, chat rooms and other communication forms. Our team of experts works closely with each organization to achieve the latest legislative mandates, which often includes the application of a holistic surveillance strategy that combines and integrates transactions with interactions and trading with communications.

 

We work with CCOs, CROs, and CIOs responsible for overseeing trade surveillance and trading compliance at global banks and securities firms to effectively and efficiently achieve solutions that cover full order lifecycle, cross market, cross asset view, and the concept of intent, and address smarter HFT monitoring, with big-data, business intelligence and visualization tools. Matrix-IFS Capital Markets practice has the expertise to help your global bank or securities firms meet – and manage – your challenges efficiently and effectively.

 

Capital Markets Service Offerings

Matrix-IFS works to ensure your compliance programs, and regulatory & operational objective costs are achieved efficiently and effectively.

We  provide  consulting,  systems  development,  and  implementation  services  in  the  following Compliance areas:

  • Trade Life cycle Monitoring
  • Position Surveillance
  • Regulatory Reporting
  • Risk Case Management
  • Managed Monitoring & Support
  • Financial Investigation Units
  • E-Comm and Voice Monitoring

We have extensive expertise and experience covering end-to-end activities required for the design and implementation of effective surveillance and trading monitoring program capabilities, in real-time and batch.  The practice services are compatible with global requirements supporting the latest EMEA, APAC, and US requirements.

Success Story

US Regulator Implements Customized Actimize Market Surveillance Solution

Challenges

  • Adapt Actimize solutions to Regulator’s unique business requirements
  • Manage voluminous data in a timely manner
  • Multiple Exchange Monitoring including different asset classes
  • Pure custom approach – no OOB solutions available

Action

  • Matrix-IFS translated custom business requirements to functional and technical specifications
  • We designed user interfaces to intelligently display various data including several sets of dashboards and In-Alert visualized metrics.
  • Matrix-IFS designed and developed efficient processes and optimized databases to handle large volume of data

Impact

  • Regulator uses custom Actimize models to automatically detect trading infractions at various Exchanges across trading entities
  • Open issues are recorded and tracked using the Actimize Case Manager
  • High capacity of data is loaded processed and stored in a timely manner
  • Regulator was trained and capable of developing additional models

Next Steps

Regulator plans to leverage the existing platform and add additional surveillance detection models along with incorporating additional Exchanges.