Surveillance is mandated, by exchange rulebooks, by SEBI in India, by SEC + FINRA in the US. Most capital markets firms have it. Few have it working. Brokers, wealth managers, asset managers, regional exchanges, broker-dealers, the same gap: a regulatory obligation fulfilled with vendor stacks that miss the pattern.
WHAT CHANGED IN CAPITAL MARKETS
Surveillance is no longer a tick-the-box mandate or a team's policy document. On both sides of the world it has become a board-attested, individually-owned, continuously-operated obligation, and pre-determined rules running on legacy vendor stacks don't catch the multi-condition spoofing and cross-venue layering regulators now expect firms to surface.
INDIA · SEBI 2024 + EXCHANGE RULEBOOKS
SEBI's Institutional Mechanism is no longer policy, it's a board-approved system run by a named Principal Officer who owns surveillance scope, escalation, whistleblower channels, and quarterly review. Exchange regulations set the reporting formats, deadlines, and attestation, with personal consequences for non-compliance.
US · SEC + FINRA
SEC enforcement sits at a multi-year high, and FINRA's supervision and annual CEO-certification regime hold named supervisors and compliance officers personally accountable for missed patterns. New asset classes, crypto ETFs, perpetuals, options-on-options, outpace incumbent coverage just as a talent shortage forces tooling over headcount.
THE SUITE
Five products engineered ground-up for capital-markets surveillance, from the lakehouse foundation through streaming, detection, and AI-assisted investigation. Capital markets DNA, purpose-built IP, regulator-defensible by design.
State-of-the-art data lakehouse implementation tailored for stock brokers. Open table formats (Delta, Iceberg, Hudi). Pre-built surveillance data models, order-book, trade-lifecycle, alert-event schemas. Built-in governance and security controls, SEBI-aware, FINRA-aware, exchange-mandated standards. Deployable on Databricks, Cloudera CDP, Azure, AWS, or on-premises.
Learn more →Real-time streaming analytics and alerting purpose-built for capital markets. Low-latency processing of high-volume market and order data at exchange scale. Advanced live-logic alerts with multi-condition triggers and correlation-based detection.
Learn more →Comprehensive surveillance enablement platform that connects seamlessly with any data lakehouse through out-of-the-box adaptors. Configurable, rule-driven advanced fraud detection algorithms, a dedicated investigator's workspace, and end-to-end case management and tracking. Plugin wizard lets clients extend functionality on demand with SentinelAI and Investigator's Copilot.
Learn more →AI/ML fraud detection engine. Out-of-the-box adaptors connect directly to the client's lakehouse and generate highly specialised data marts known as Advanced Threat Stores using specialised AI models. Integrates natively with Forensica to support the complete alert management lifecycle and downstream investigation workflows.
Learn more →A natural-language-powered investigation assistant designed specifically for surveillance teams. Delivers domain-specific visualisations and a tailored knowledge graph, enabling investigators to query, explore, and uncover insights faster and with greater contextual accuracy. Built on the VizIQ conversational architecture, hardened and tuned for capital-markets compliance workflows.
Learn more →Where we differ
Most surveillance vendors built before 2020 carry the architectural debt of pre-lakehouse data systems, separate data store, heavy professional-services drag, slow onboarding to new asset classes.
Let's talk.
Tell us what's in your data and AI stack, what's stalled, and what would change if it worked. We'll share what we've shipped against similar patterns in production, and what makes sense as a first step.
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