Help center › Compliance
Surveillance, alerts and reports
Detectors
- Wash trades: a buy and a sale of the same security, in one or several accounts, within the firm's window (5 days by default).
- Spoofing pattern: a large order cancelled within minutes of entry with little or nothing filled.
- Restricted-list hits: fills in a restricted security, and refused attempts.
Cross-component alerts
Vestoris combines signals from different components, for example a user's first order on an account they usually only view, an unusually large size, and a position close to its limit, into one alert.
Reviewing
Open an alert to see its details, draft an audit narrative, and mark it reviewed, dismissed or escalated.
Periodic reports
Compliance › Reports drafts a report for a period from the records. Edit it, finalize it (the text is frozen and fingerprinted) and download the PDF.