Fidessa Trading UK Limited

Juan Carlos Mauras

Anthony J Martinez

James J Biancamano

Kurt Erich Huhner

Freddie Chiong

Adam Levy

The methods and systems described herein can be used for proactively monitoring regulatory compliance within an order management system, and for providing a real-time or near real-time recommendation relating to a subgroup of information containing suspicious attributes of a trade before the trade is executed. As such, market abuse monitoring is integrated with the order management system to provide historical trade data, identify a subgroup of information containing the suspicious attributes, and provide an actionable and contextualized real-time or near real-time recommendation to a compliance officer or other appropriate individual, officer, or office. As such, potential market abuse can be prevented by, for example, a rejection of the trade. By providing proactive surveillance rather than reactive surveillance relating to potential market abuse, fines or other consequences are also prevented. As such, compliance is improved.

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West New York, NJ, United States of America

Juan Carlos Mauras