Managing surveillance risk is your job.

Find the risk. Manage it swiftly and decisively. Stay ahead of the regulators.

Validus Trade Surveillance for a Global View

Compliance teams at broker-dealers and other intermediaries face high regulatory standards, siloed data, and technical debt. They need well-tuned software with flexible alert parameters and clear documentation for their risk based approach to trading.

Validus is the leading rapid-response trade monitoring solution that allows compliance teams to execute a surveillance strategy, detect potential threats, and navigate market activity.

A unified platform for trade surveillance, market risk, and algo and transaction monitoring with solutions for broker-dealers, FCMs, and DCMs
Operate in both T+1 & real-time
Coverage across all financial asset classes
Hundreds of ready-to-use integrations and customisable procedures for specific markets and clients.

Sign up for a free demo.

Award-Winning Trade Surveillance

Get a free demo of our Validus platform

A Solution Built For Financial Intermediaries

Evolve Your Compliance Program As Surveillance Complexity Increases

Full-Coverage

Operate across markets with diverse regulatory needs. Validus is a multi-asset class platform with a global view and bespoke solutions powered by scalable engineering.

End-to-End Expertise

Our team of former CCOs and heads of surveillance resolve challenging problems with our international clients, leveraging real-world experience.

Rapid-Response

Predictable and reliable delivery from our collaborative service model. Validus is a rapid-response solution that allows compliance teams to better allocate resources and reduce total cost of ownership (TCO).

Validus Platform Features

Extremely Powerful, Easy to Deploy

Save time and resources while mitigating the risk of fines and reputational damage.

Real-Time Environment

Validus Trade Surveillance is actionable and scalable, for T+1 and real-time environments, across multiple asset classes. Alerts monitor for potentially manipulative behaviours as well as compliance within Asia-Pacific, EU and UK MAR, and U.S. SEC and FINRA rules, and more.

Prioritisation of Important Actionable Alerts

Validus procedures cast a wide net to identify potential issues while machine learning and robotic process automation highlight only the most actionable alerts to analysts for effective surveillance.

Alerting to Remediation

Combines alerting, investigation, and remediation into a single platform. Compliance teams receive proper audit trails of surveillance changes, disposition, and workflow to ease preparation of suspicious transaction reports and collaboration with regulators.

Account Data Integration

Streamlines the integration of account data through full-featured APIs.

Data Reconciliation

Reconciles data between multiple counterparties and platforms. Our data ingestion process permits users to send raw data from disparate sources in multiple formats.

100+ Market Centres

Connects to 100+ trading venues and data providers.

Our Clients

Trusted by the world’s most sophisticated firms

Key Benefits

Comprehensive

Surveils against market abuse, such as spoofing, layering, wash trading, and more. Risk monitoring parameters validate pre-trade risk controls.

Extensive Flexibility

Hundreds of ready-to-use integrations and tailored procedures. “Buy to build” model gives our clients the ability to customise their platform.

Explainability

Describe the system’s outputs to regulators and internal stakeholders. Supervision and oversight with canned and bespoke reports.

Transparency

Quickly view all available and enabled procedures, their parameters, and change logs. Platform includes searchable and exportable audit trail.

Client Testimonial

"We see a lot of similarities between our two organizations and share a common philosophy with Eventus of putting clients first. Its reputation for client service is outstanding, and we’ve had a really good engagement all the way through, from our sales representative to senior leaders. We view Eventus as a true partner, where we can work closely together to develop what we need and efficiently scale our trade surveillance capabilities as we expand onto new exchanges and delve more deeply into the markets we’re trading."

- William Slack, Managing Director, Morrison Securities

A Guide for Compliance Leaders

Market Surveillance Priorities of Global Regulators

What you need to know about trade surveillance regulations

Download our latest report for recommendations on how to keep your firm ahead of the curve and ready for future regulatory changes.

Key insights include:

An overview of top priorities for SEC, FINRA, the U.S. Commodity Futures Trading Commission (CFTC), FCA, ESMA, Canada’s New SRO, Australian Securities & Investments Commission, MAS, and the SFC.
An examination of how regulatory attention impacts broker-dealer compliance.
5 key takeaways for regulatory and compliance leaders to combat market abuse, protect their company and employees, and reduce the risk of penalties and fines.

Download Now

FAQs

Why is trade surveillance important?

Major global jurisdictions have rules for market participants about the prohibition of fraud and manipulation, order and trade handling, market access controls, licensing requirements, supervisory control systems, manning, and limit order display.

For example, the Monetary Authority of Singapore (MAS), Hong Kong Securities & Futures Commission (SFA), Australian Securities and Investments Commission (ASIC), and Japan’s Financial Services Agency (FSA) all have regulations covering market abuse, insider dealing, and surveillance responsibilities.

Inadequate or poorly calibrated trade surveillance systems can lead to regulatory inquiries and fines. Regulators also will issue enforcement actions for insufficient review of surveillance output, poor training, and a lack of documentation.

Trade surveillance also helps institutions detect and deter market abuse that could lead to expensive civil and criminal liability.

What types of manipulative trading does Validus monitor?

Validus Trade Surveillance has a full suite of alerts and procedures for intermediaries and trading firms.

Please contact us to learn more.

Here are a few of the market manipulation types that have a Validus alert:

Spoofing is a form of market manipulation in which a trader submits a bid or offer in a security or commodity on an exchange or other trading platform with the intent to cancel the bid or offer before it can be executed.

Layering is like spoofing but with multiple submitted bids or offers at different levels of the order book on an exchange or other trading platform with the intent to cancel the bids or offers before they can be executed.

Both spoofing and layering give a misleading view of supply or demand to artificially move the price to benefit the opposite side execution.

Flashing is the practice of submitting and quickly canceling an order, typically of large size, intended to send a misleading signal to the market.

Front running is when proprietary trading accounts or employee accounts send orders in the moments before customer
orders in the same instruments.

Insider trading is when a person trades based on material non-public information to reap a profit or avoid a loss.

Momentum ignition is a series of orders that contributed to a spike in the short-term price of security. Ultimately, the trader seeks profits from this artificial increase in price and will exit out of the larger position at a better price.

Wash trading is when a firm, account, or client appears to be on the same side of a trade with no change of beneficial ownership. Similarly, a wash cross trade is when two or more accounts appear to be on either side of multiple trades resulting in no change of beneficial ownership.

How does Validus handle changing regulatory requirements?

Eventus conducts ongoing research about global financial regulations and engages directly with regulators and market participants. We then feed that research into Validus and work directly with our clients to ensure our software is tailored to their changing needs.

For example, we are members of FinTech Association of Hong Kong (FTAHK) and ACCESS Singapore, where we participate in regulatory discussion with regional industry colleagues and participate in policy consultations with regulators.