©2015 Cambridge Semantics Inc. All rights reserved.
Anzo Trade Forensics and Compliance
A Smart Data Solution
for Financial Services
Contact:
Ben Szekely
Vice President & Founding Engineer
Solutions & Pre-sales
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 2.
Trade Forensics and Compliance: Component Architecture
Anzo Enterprise(Data cache, Ontologies, Mapping,
Rules)
Anzo Connect(Live SQL
Connectivity)
Anzo on the Web: Customizable Analytics, Rules, Queries & Graph
Visualization
Surveillance Warehouses
Anzo Unstructured(Text Monitoring)
Financial news, Emails, IMs, Research reports, Social Media, Phone records, Time & Expense Records
Trading Systems
Anzo for Microsoft Excel: Live Excel reports, interactive real-time data cleansing
and on-boarding
Watch Lists
Anzo Relational Replicator
Confidential
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 3.
Trade Forensics: Ingest structured data
Examples of structured sources
• Watch list – securities listed due to pending deals.
• Market Data – daily price movement and / or tick data.
• Trade blotters – transactions and positions
Molsen-Coors 12/26/2011 TAP Buy-side M&A Constellation Brands
Molsen-Coors 12/30/2011 TAP Open / High / Low / Close Prices
Molsen-Coors 12/28/2011 Equity BUY 123.3 5000 Grant Rice
Confidential
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 4.
Examples of unstructured sources
• New articles – articles mentioning traded securities or companies that
can help correlate market events to trading trends
• Email – Monitor employee communication for the passing of sensitive
information relevant to deals, research reports or other watch-list
activity
Trade Forensics: Ingest internal and external unstructured, annotate and connect
Confidential
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 5.
• Trade
Security
IndividualWatch List
Research Report
Expert Conversation
Deal teamTrader,
Sales person
EquityFixed
Income
subclass
News Article
Email Message
Trade Forensics: Conceptual Data Model
Intuitive investigation and analytics across all data sources
Confidential
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 6.
1. Watch List Analysis
2. Employee Connections Analysis
3. Watch List Communications
4. Market Price Swings
5. Restricted List
6. Restricted List – Front-Running
7. Conflict of Interest
8. Over the Wall Communications
9. Employee Trading Reviews
10. Market Moving Corporate News
11. Timing of Trades to SEC filings
12. Expert Network Trade Surveillance
13. MNPI Outside the Organization
14. Employee Pre-Approval Surveillance
15. Employee Trading – Outside Account Review
16. Outside Business Activity / Private Securities Transactions
17. Internal Communications Pre-Clearance
18. Email Surveillance
19. External Research Report Pre-Clearance
20. Gifts and Entertainment Surveillance
21. Meetings with Public and Private Side Employees
Trade Forensics: Potential Dashboards
Confidential
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 7.
Flexible Ontology (Model) Management
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 8.
Excel-based mapping for loading data from structured sources
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 9.
Configurable NLP Pipelines
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Configurable Investigative Dashboards
©2014 Cambridge Semantics Inc. All rights reserved. Company Confidential. Page 11.
Declarative Excel-based Rules