A SMARTER SOLUTION FOR TRADE SUPERVISION

Ideal Control empowers supervisory risk management teams with cross-asset analytics and actionable insights for fostering more ethical trading behavior. Particularly relevant for senior managers complying with SMCR, using Ideal Control provides independent validation and evidence of ethical decision-making, greatly mitigating operational, reputational, and regulatory risks.

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OPERATIONALIZING BEST PRACTICES
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Ideal Control operationalizes trading best practices and principles-based regulation as quantifiable checks, curated alerts, and clear action steps. With a broad and deep understanding of nuances across asset classes, our founding team has developed a solution unparalleled in its ability to both recognize when activity looks questionable and provide objective answers for escalation and resolution when needed. By operationalizing code of conduct principles from the FX Global Code, MiFID II MAR, FMSB, and ADAM Code, Ideal Control empowers risk managers with greatly streamlined workflows and the confidence that they are in control.

MONITORING FOR OPTICS
AS WELL AS OFFENSES

Ideal Control helps risk managers not only in detecting actual market abuse, but also in flagging activity that would simply look unethical from an optics standpoint. There are plenty of behaviors that don’t technically violate the law, but can nevertheless have significant impact on a firm’s standing and future prospects.

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ARM’S LENGTH OBJECTIVITY
AND EVIDENCE
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Clients using Ideal Control gain peace of mind from the repository of objective, arm’s length evidence that they have adhered to relevant code of conduct principles over time. When questions arise about past activity, as they inevitably will, risk managers can feel prepared with clear answers and independent validation of their monitoring practices.

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A DEFENSIBLE AUDIT TRAIL

Evidence adherence to conduct codes

  • ADAM Code of Conduct

  • FICC Market Standards Board

  • FX Global Code of Conduct

  • MiFID Market Abuse Regulation (MAR)

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CUSTOMIZED CHECKS

Monitor, test,

and report

  • Algorithmic health

  • Benchmark execution

  • Disorderly market activity

 

  • Latency

 

  • Flashing, layering, spoofing

 

  • Systemic bias in profit and last look

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USER-FRIENDLY TOOLS

Analyze, supervise,

and share

  • Client execution quality and TCA

  • Exception escalation and workflow management

 

  • Collaborate with peers and regulators on best trading practices

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DISCRETION IN ACTION

Escalate, resolve, and store

  • Create and archive evidence of reviews

  • Share anonymized analysis for sensitive information

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CONTACT US

Ready to learn more about how Ideal solutions could help you?