OB ADVISORYMarket Surveillance · Regulatory Compliance
Services

Market Surveillance Packages

Five fixed-scope packages for exchanges, prediction markets, broker-dealers, and trading firms. Find your situation, then pick the package that fits.

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BUILDING A NEW PROGRAMnew exchanges · new venues · new desks
CORE PACKAGE

1Market Surveillance Program Build

For

Venues and firms standing up a market surveillance program from zero, including firms going through regulatory registration.

How the build runs
Program design and strategy
Policies and procedures
Alert setup and threshold tuning
Case management workflow
Daily data reconciliation
Also includes
Deliverable

A working, documented program your team can run and defend.

2 to 4 monthsDiscuss this package
RUNNING A LIVE PROGRAMexchanges · broker-dealers · trading firms

2Market Surveillance Program Assessment

For

Firms with a live program that want an outside view, often after a new CCO, a vendor change, or a regulator comment.

Includes
  • Review of policies, procedures, alert logic, thresholds, case files, and staffing against your products and risks
  • Coverage matrix mapping each manipulation type to the alert that catches it
  • Market Surveillance Workshop (5)
Deliverable

Findings report with gaps ranked by regulatory risk, plus a remediation roadmap.

4 to 6 weeksDiscuss this package

3Exam Ready Review

For

Firms facing a regulatory exam, rule enforcement review, or registration review.

Includes
  • Mock exam of the market surveillance function
  • Document request prep
  • Testing of sample alerts and cases
  • Interview prep for staff
Deliverable

Readiness report with fixes to make before the review, plus a clean document package.

2 to 4 weeksDiscuss this package
SPECIALTY & TEAM TRAININGprediction markets · any team

4Event Contract Integrity Program

For

Prediction markets and venues listing event contracts.

Includes
  • Insider risk mapping by contract type: sports, elections, economic data, company events
  • Restricted lists and insider identification
  • Alert logic for trading ahead of outcomes
  • Account linkage review and escalation procedures
Deliverable

A documented insider trading prevention and detection program built for event contracts.

2 weeksDiscuss this package

5Market Surveillance Workshop

For

Compliance, trading, and leadership teams.

Includes

A full-day boot camp with your team on how to view market regulation, so your program covers the manipulative and suspicious trading risks your firm actually faces.

  • Market abuse typologies
  • How each alert ties to a real risk
  • Working a case from alert to escalation
Deliverable

A team that can defend the integrity of the whole program to auditors and regulators, plus materials they keep.

1 full dayDiscuss this package

Included in packages 1 and 2

Scope note

These packages do not include daily trade surveillance. OB Advisory does not review alerts, disposition cases, or make escalation decisions for clients. The firm and its internal team remain responsible for day-to-day market surveillance at all times. Each package makes sure the structure, policies, and procedures behind that work are rock solid, so the firm can protect the integrity of its platform and stand up to regulatory scrutiny.

Inquiries

Not sure which package fits?

Send a short note about your venue and products. Every engagement is scoped to your firm.