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Processes and decision automation for financial markets trade surveillance: Challenges and recommendations — next-generation solutions

Author

Listed:
  • Soviany, Cristina

    (Feature Analytics, Belgium)

  • Soviany, Sorin

    (National Institute for Research and Development in Informatics-ICI, Romania)

Abstract
This paper presents the challenges institutions encounter when implementing or deploying market surveillance solutions. A guidance framework is provided to design and deploy solutions that can overcome the current challenges. The support technologies that should be used include artificial intelligence (AI) techniques, advanced data science and statistics. The next-generation surveillance solutions should make use of these technologies that provide a robust framework for the detection of any market abuse, both known and new emerging patterns, while reducing the operational cost.

Suggested Citation

  • Soviany, Cristina & Soviany, Sorin, 2021. "Processes and decision automation for financial markets trade surveillance: Challenges and recommendations — next-generation solutions," Journal of AI, Robotics & Workplace Automation, Henry Stewart Publications, vol. 1(2), pages 119-130, December.
    • Handle: RePEc:aza:airwa0:y:2021:v:1:i:2:p:119-130
    as

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    More about this item

    Keywords

    trade surveillance; market abuse; financial instruments; automation; artificial intelligence (AI); explainable; proactive;
    All these keywords.

    JEL classification:

    • M15 - Business Administration and Business Economics; Marketing; Accounting; Personnel Economics - - Business Administration - - - IT Management
    • G2 - Financial Economics - - Financial Institutions and Services

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