Research European Commodity Market Regulations - Part 1 | Page 45

European Energy Market Regulations V3.1 questionable transactions and high-risk positions, streamline review processes, support audits and respond quickly to regulatory and legal inquires. Protegent Surveillance helps firms detect a broad range of issues including commissions, concentration, suitability, licensing, breakpoints, market manipulation, AML, restricted holdings and insider trading activity. Deployment options include a full in-house implementation or a SunGard hosted ASP service module. Features • • • • • • Identifies questionable transactions and positions Provides alert scoring with justification and auto escalation Supports issue resolution workflow using a robust alert management functionality Easily accessible web-based user interface Allows personal and shared watch lists Provides historical data snapshots and statistical reporting Vendor: SunGard http://sungard.com/campaigns/fs/globaltrading/360trading/solutions/compliance/proteg entsurveillance.aspx Oracle Financial Services Energy and Commodity Trading Compliance Oracle Financial Services Energy and Commodity Trading Compliance (ECTC) applies sophisticated pattern recognition techniques to monitor trading and market-making activities regarding regulatory compliance and quality of execution. The solution provides trade-by-trade visibility into interactions between traders and other market participants to identify potentially problematic practices or inferior order handling. Oracle Financial Services Energy and Commodity Trading Compliance covers multiple instruments, market segments, jurisdictions, time zones, currencies, and market structures through the use of behavior detection scenarios to identify trading anomalies. Additionally when deployed in combination with Oracle Financial Services ECTC Analytics the solution enables compliance and supervisory users to further explore their trading data for unusual trends, patterns, or other behaviors of interest thus providing a powerful alert and investigation solution. • • • • • • Flexibility and Configurability – users can readily tailor the application to meet any specific needs of the firm Expedited Implementation Processes – provides multiple approaches to data acquisition that can get you up and running quickly and efficiently Automated Alert Correlation – autom