©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

ben@cambridgesemantics.com

©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

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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

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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

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• 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

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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

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Flexible Ontology (Model) Management

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Excel-based mapping for loading data from structured sources

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Configurable NLP Pipelines

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Configurable Investigative Dashboards

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Declarative Excel-based Rules

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