» What Do We Do?

Compliance Monitoring, or Regulatory Compliance Monitoring, is the process of checking that a client's trading activity satisfies the rules and requirements set down by the applicable regulatory bodies. Now more than ever, it is vital that companies are seen to be taking measures to protect themselves and their clients from fraudulent and illegal trading activity. Failing to take such matters seriously can result in disastrous reputational and financial damage.

» How is it Regulated?

The listed derivatives industry is regulated at two levels:

• The relevant exchange will provide the first and most demanding level of control by enforcing its own rules and regulations.
• National regulatory bodies such as the Financial Services Authority (FSA) in the UK, or the Bundesanstalt fur Finanzdienstleistungsaufsicht (BaFin) in Germany, provide the second, higher level of regulation.

» Doing it Yourself:

Undertaking Regulatory Compliance Monitoring is fraught with difficulties because of the sheer volume of data generated by firms on a daily basis. Even the more specialised firms trading Listed Derivatives in the European market can generate more than 100,000 lines of trading data per day. Attempting to manually monitor that data is impossible for smaller firms, and a serious inconvenience to larger ones. R3D offers a compliance monitoring service which empowers its users to access the information they need, when they need it.

» More About R3D's Financial Surveillance System:

Our System uses client's trading data to identify any non-compliant listed derivatives transactions. Reports of non-compliant trading activity are delivered to the client on Trade Date +1 day basis through a secure web based interface. Thousands, sometimes hundreds of thousands of lines of trading activity are reduced to the tiny fraction which represent actual risk to clients, and is presented in a clear, condensed format. R3D provides the only compliance monitoring system covering the major listed derivatives exchanges in Europe.