Monitors communications for instances of unwanted research where there is no response to research. Scenarios excludes labels that identify white-listed researchers.

Scenario monitors communications for instances of unwanted research where the trader responds to reject the research. Scenarios excludes labels that identify white-listed researchers.

Monitors for instances of unlawful disclosure of information by a person who possesses inside information and discloses that information.

Monitors for situations when insider information is disclosed in communication with expert network representatives. This scenario focuses on instances where management is disclosing information.

Monitors for situations when insider information is disclosed in communication with expert network representatives. This scenario focuses on disclosures related to the management actions.

Scenario to detect sharing of rumours used to influence or mislead another person to believe or act in a certain way. This can be a form of manipulation.

Monitors for communications that mention or request the manipulation of LIBOR or other interbank offered rates (e.g. EURIBOR, SIBOR, TIBOR) as well as general discussions about the potential manipulation of rates.

Monitors for instances where a trade is scheduled for a particular time.

Monitors for instances of collusive behavior between two or more persons with the intent of committing market abuse activity (whether they are successful or not) or creating unfair trading conditions.

Monitors for communications between persons attempting to arrange/perform a wash trade or the discussion of having conducted a wash trade.

Looks for the reference to “sleeving”, a term used in some Commodities markets to indicate wash trades.

Monitors for communications where participants are discussing the action of parking trades which is a form of position concealment.

Monitors for communications where participants are discussing the intention to front run, the action of front running (trading ahead) of client orders or the concealment of these actions, taking advantage of the knowledge and potential impact on the market of a pending client order.

Monitors for communications where participants are discussing the the act of spoofing or layering in the market.

Monitors for communications where participants are discussing the the act performing a trade outside of the formal market or exchange and agreeing a trade outside bid-offer??

Monitors communications for potential instances of harassment with emphasis on individuals expressing discontent or fear.

Monitors for communications for potential instances of harassment with emphasis on individuals making unwanted sexual advances or obscene remarks to another individual.

Monitors for communications for potential instances of harassment with emphasis on individuals being manipulative towards others.

Monitors for communications for potential instances of harassment with emphasis on individuals making unwanted sexual advances or obscene remarks to another individual.

Monitors for communications to detect inappropriate discussions about another person’s personal life or appearance which can impact a person’s feelings, credibility or reputation.

Monitors for communications to detect insults directed at the recipient of a communication (but not organizations).

Monitors for communications to detect insults directed at specific people (but not organizations).

Monitors for communications to detect negative feeling from a person about the company, their team or their work.

Monitors for communications to detect use of racist language and profanities.

Monitors for communications to detect use of sexist language.

Monitors for communications to detect inappropriate language associated with sexual minorities.

Monitors communications to identify where individuals are discussing or threatening to raise an issue to Compliance, HR or other external authorities e.g. Regulators.

Monitors communications to identify where negative comments are targeted at Compliance or when employees are raising issues or conflicts with Compliance to a colleague.

Monitors communications to identify where negative comments are targeted at Compliance or when employees are raising issues or conflicts with Compliance to external contacts.

Monitors communications to identify where external parties are expressing negative comments, dissatisfaction or criticisms about the organization, an employee or the outcome of business activity.

Monitors communications to identify business interactions that are conducted on a communication channel which has not been authorized e.g. Whatsapp, Facebook, WeChat.

Monitors for instances where employees are boasting about their trades, clients, financial institutions and positions.

Monitors communications to detect for potential inquiries, receipt, disclosure or other misuse of confidential client information.

Monitors communications for evidence of gifts being exchanged (given or accepted) to obtain preferential treatment with external parties.

Monitors communications for evidence of entertainment being offered or provided in return for preferential treatment.

Monitors communications for evidence of drinks / dinner / parties being offered or provided in return for preferential treatment.

Monitors communications for evidence of travel expenses being offered or given in return for preferential treatment.

Monitors communications for evidence or indications of outside business activity by an employee.

Monitors communications for evidence of employees using a personal trading account to transact on their own behalf.

Monitors communications for indications of of employees giving or receiving a bribe to influence another individual.

Scenario generates a random sample of communications for review. This is capped at 1% of the total relevant communication*

Monitors communications for potential sensitive / confidential data leakage and unauthorized sharing of data with external contacts who should not have access to the content. The scenario focuses on the emails that include attachments that either have an empty body or contain phrases that could indicate the unauthorized disclosure of information.

Monitors communications for the unauthorized sharing of passwords. The scenario searches for a set of letters, symbols and numbers used with close proximity to the word “password” and for phrases that relate to the potential disclosure of a password.

Monitors communications that could indicate a breach of anti-money laundering legislation including concealment of where funds originated.

Monitors communications concerning countries on the OFAC Sanctions list and any suspicious activity or business activity that is not permitted.

Monitors communications that are indicative of a person apologizing about an order or trade error.

Monitors communications that indicate a mistake or accident has been made in relation to trades.

Monitors for indications of a conflict that arose from situations where something did not go according to the plan or was done without any authorization.

Monitors for instances where there are non-Latin letters in communications(excluding punctuation and emoticons).

Scenario monitors for instances where there is a change in the language used in business-related communications. This could be an indication of someone trying to hide something and avoid monitoring. The scenario focuses on the communications where both Latin and non-Latin letters and characters (excluding punctuation and emoticons) are in the close proximity. This scenario does not monitor for communications where there is a single letter with a diacritical mark or communications that are written using only non-Latin letters.

Scenario looks for communications that contain URL links only. Short text such as signatures and disclaimers can be present.

Scenario looks for the instances where HTML/CSS are used to hide the message For example, when the following script is present:
● To hide parts of the message – “display:none”
● To set the font size to 0 – “font-size:0px”
● To make the text transparent – “opacity:0.0”

Scenario looks for instances where the color of the text and the background color of the message are the same i.e. not visible to the eye.

Monitors communications sent by Monitored Employees to their own personal email addresses (Gmail, Yahoo etc.) where there are attachments present (excludes small attachments e.g. company logos). This can be used to identify situations where confidential, sensitive or proprietary documents are sent by employees to themselves.

Monitors communications sent by Monitored Employees to external contacts with personal email addresses (Gmail, Yahoo etc.) where there are attachments present (excludes small attachments e.g. company logos). This can be used to identify situations where confidential, sensitive or proprietary documents are being sent externally.

Scenario looks for the presence of programming language in communications sent to external contacts. This can be used to identify situations where confidential, sensitive or proprietary code that should not be shared is being sent externally.

Scenario looks for communications that contain unusual font styles such as writing in bold, italics and underlined font within one word.

Scenario monitors for instances where there are deviations in use of punctuation with an emphasis on the use of an excessive amount of question marks and exclamation marks. Excessive punctuation can be an indication of impatience or dissatisfaction, from clients or between employees, which requires attention.

Scenario monitors for instances where there are words in uppercase in short messages (sms, chats and short emails). Text in All Caps can be an indication of shouting or rude behavior, from clients or between employees, which requires attention.

Scenario monitors for the presence of symbols in communications linked to a recognized language (obfuscation). For example, “Symb0l”; “pa$$word”.

Scenario looks for the communications where participants send messages across different lines in order to hide the meaning of a word or a phrase.

Monitors communications for instances of unwanted research where there is no response to research. Scenarios excludes labels that identify white-listed researchers.

Scenario monitors communications for instances of unwanted research where the trader responds to reject the research. Scenarios excludes labels that identify white-listed researchers.