Platform · Compliance & Surveillance
Compliance and surveillance for event-contract venues.
Compliance is a structural property of the platform, not a layer added on top. Surveillance, audit, KYC/AML, and reporting are first-class subsystems engineered to the standard a regulator would expect from a derivatives venue.
Audit
Complete, append-only audit trail across the trading lifecycle.
Every order, modification, fill, cancel, settlement, operator action, and configuration change is captured to an append-only audit log with monotonic sequencing. Audit data is queryable via structured interfaces and exportable for regulator-facing inquiry within the operator's jurisdictional retention period.
Append-only event log
Immutable record of every market and operator event with monotonic sequencing.
Deterministic replay
Any session reconstructable for surveillance and dispute review.
Structured audit query
Query interface for compliance analysts and regulator-facing inquiry.
Retention controls
Per-jurisdiction retention policy with cryptographic integrity guarantees.
Market surveillance
Manipulation detection across spoofing, layering, and wash trading.
Surveillance models are tuned for the topology of event- contract markets, discrete outcome space, AMM-supplemented liquidity, and resolution-driven settlement create different manipulation signatures than continuous markets. Alerts are reviewable in the compliance console with linkage to the audit-replayable session record.
Spoofing & layering detection
Pattern recognition over order placement, modification, and cancel signatures.
Wash trading detection
Cross-account and cross-member self-trade identification with STP integration.
Pre-resolution monitoring
Heightened surveillance around resolution windows when manipulation risk peaks.
Configurable thresholds
Per-market, per-member, and per-jurisdiction alert tuning with full audit.
KYC / AML
Integration patterns for identity, sanctions, and source-of-funds.
KYC and AML are integrated via reference patterns and first-party connectors to the major vendors operators already use, Jumio, Onfido, Persona, and Sumsub. Onboarding state, sanctions and PEP screening, and transaction-monitoring outcomes are recorded as first-class audit events. Identity is layered on top via OIDC or SAML SSO against the operator's existing IdP.
Pre-built identity integrations
Connectors for Jumio, Onfido, Persona, and Sumsub, plus geo, age, and jurisdictional gating.
Sanctions, PEP, and watchlist screening
Onboarding and ongoing-monitoring screening with audit-quality evidence retention.
Transaction monitoring & SAR readiness
External TM outcomes recorded as audit events; SAR-ready audit trails for regulator inquiry.
SSO and granular RBAC
OIDC and SAML SSO against the operator IdP; role-based access for trading, compliance, finance, ops, and support.
Reporting
Regulatory reporting aligned with CFTC and equivalent expectations.
Trade reporting, large-position reporting, and member-firm periodic reporting are produced from the audit log on operator-configured schedules. Output formats are designed to integrate with the operator's regulatory reporting workflow rather than to lock the operator into a proprietary pipeline.
Trade reporting feeds
Configurable schedules and formats for trade-level reporting.
Large-position reporting
Periodic position reporting with threshold and concentration metrics.
Jurisdictional configurability
Per-jurisdiction report templates and submission profiles.
Double-entry ledgers & reconciliation
Reconciliation-ready double-entry ledgers and daily / intraday reconciliation feeds for member-firm back office.
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Related
Walk through the surveillance and audit architecture.
We are happy to share detail with compliance and risk teams under NDA.