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Case Study  ·  Compliance

Trade Analysis and Sales Process Reconstruction

Examining commercial securities trades for signs of collusion and misconduct

Industry

Financial Services

Situation

Morae was called upon to assist our client, one of the world’s largest financial services institutions, comply with an investigation request from a regulator. Our client had been instructed to examine a significant volume of commercial securities trades, executed over a number of years, for signs of collusion and misconduct. Morae’s role was to manage this process, including establishing the population all the way through to analysis and reconstruction for every applicable trade.

Solutions

In under a month, our data analytics team developed and deployed a managed process, incorporating bespoke software to allow us to deliver a report consisting of the relevant trades, fully reconstructed from across assorted media types..

Rather than compiling everything manually, Morae analysts can seamlessly pull data from workflow platforms into our custom application using applied and developed criteria e.g. product type; price variation. They can then establish the trade population (from the vast amount of data supplied by the client) by examining trade confirmations and conversations (including audio, email, and chat data) to flag relevant information and patterns within them.

Benefits

The rankings provided by Morae, as well as the system developed to obtain those rankings will enable the client to monitor their business going forward for trades that feature compliance or conduct issues.

For future engagements, the trade reconstruction workflow and custom application created by Morae can be leveraged quickly, as it is designed to work seamlessly with standard review workflow platforms.

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