Trade and Market Surveillance Maturity Model

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25% of survey complete.

Datos Insights understands the importance of conducting effective trade and market surveillance to stay in compliance with application rules and regulations, catch the bad actions and improve efficiency, such as by reducing the false positives. Conducting trade and market surveillance is a journey, and that is a bit different for every bank and often different within the banks due to factors such as the asset classes or regions. By answering these questions, the Datos Insights Trade and Market Surveillance Maturity Model can help you understand your financial institution's position and what the most important next steps are.

Strategy:

Question Title

* 1. How well is your surveillance strategy aligned with business objectives?

Limited alignment with occasional coordination

Infrequently aligned reviews with key stakeholders

Regular alignment with no reviews with key stakeholders

Regular alignment reviews with key stakeholders

Fully integrated strategy with continuous alignment

Question Title

* 2. How is funding for surveillance initiatives allocated and managed?

Project-based funding with limited planning

Annual budget with some flexibility

Strategic investment approach with value-based funding

Integrated portfolio management with adaptive resource allocation

Predictive intelligence-driven funding ecosystem

Question Title

* 3. What is the overall effectiveness of the current surveillance strategy?

‘Effectiveness’ being defined as:

1) Surveillance strategy is covering the WSP/SCP requirements;
2) All required data is being captured in the surveillance infrastructure with appropriate reconciliation;
3) Alerts are being generated and remediated at prescribed and efficient time periods

0 to 50%

51% to 70%

71% to 85%

86% to 95%

96% to 100%