Surveillance technology & processes

Our focus is on helping participants get maximum value from their surveillance systems and processes, along with key strategies in the area of Automated Order Processing (AOP) filters. From a basic surveillance process review, through to a full monitoring and event response service, our services were designed to offer a complete set of options for participants in this specialist area, including:

  • Surveillance processes – review and update written processes e.g. event escalation, breach reporting, suspicious activity reporting.
  • Surveillance technology – review, update or implement technology and related outputs e.g. alert calibration, exception reports, case management.
  • Automated Order Processing (AOP) – guidance and analysis of AOP related MIR obligations including appropriate filters.
  • Monitoring – End of day / T+1 review and action for surveillance system exception reports.
  • Monitoring – Full intra-day surveillance and event response.
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Enforcement mitigation

We provide a number of crucial services to help mitigate and redress each step of the ASIC enforcement chain, including:

  • Enforcement mitigation framework – review and update written framework e.g. self-reporting, co-operation, remediation, negotiated settlements and mitigation strategies.
  • ASIC MIR enforcement action – mitigation strategies e.g. co-operation, notice responses, settlement negotiations, remedial actions.
  • ASIC Enforceable Undertakings – Independent audit, review and quality assurance.
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Governance & policy

A key item for market participants and operators when aiming to prevent, detect and mitigate MIR breaches is their governance structure, including having reporting lines independent of the business function, in-house compliance committees and non-executive board directors with a focus on regulatory risk.  Just as important is the written compliance frameworks and related policies. Our services in these areas include:

  • Internal governance structures – Review and update.
  • Internal governance structures – Independent panel/committee membership.
  • Compliance frameworks – review, update and impact analysis.
  • Compliance Registers – review, update and maintain (including breach register, Suspicious Activity Reporting).
  • Regulatory consultation papers – updates and impact analysis.
  • Regulatory consultation papers – written submissions on behalf of participants.
  • Market Operators – ASIC licence applications and assessments.
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Learning

We are developing specialised eLearning modules focused on market integrity oversight.  Our content will focus on a range of case studies, published Infringement Notices and Reg Guides. Delivery is designed to be interactive and mobile friendly, with shorter durations aimed at maximising time value for all staff working with market integrity related issues.  Our service packages come with in-built access to our eLearning courses, including

  • Access to ‘Core’ eLearning courses.
  • Access to ‘Premium’ eLearning courses.
  • Update and maintain training register.
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