What is Compliance Explorer ?

Compliance Explorer is a real-time market surveillance system which generates alerts that are specifically designed to assist broker compliance in monitoring securities trading carried out by their organisation. The alerts can be classified into two types:

• Alerts that identify trading patterns that may indicate a possible breach of relevant securities laws and / or exchange business/trading rules (eg market manipulation, insider trading).
• Alerts that are information based, designed to inform compliance in real- time of changes in trading patterns by their organisation's dealing desks.

What can Compliance Explorer do ?

Compliance Explorer is a web-based system which provides alerts, in real-time, upon definition of unusual orders / trades or trading patterns that may require further enquiries. This enables broker compliance to be more pro-active in monitoring trading and to stop an emerging pattern of trading by a client or employee that may pose a financial or regulatory risk.

Compliance Explorer provides broker compliance with a complete archive of trading data and a number of tools which allow for easy and detailed analysis of the trading.

What needs to be done to run a trial ?

Simply contact CMSS by phone or through the [ Demonstration ] section of this website. We can then advise whether Compliance Explorer is currently active in your market.