FSV307: Capital Markets Discovery: How FINRA Runs Trade Analytics and Surveillance on AWS

FINRA's analytics platform unlocks the value in capital markets data by accelerating trade analytics and providing a foundation for machine learning at scale. The platform enables FINRA's analysts to perform discovery on petabytes of trade data to identify instances of potential fraud, market manipulation, and insider trading. By centralizing all data in S3, FINRA's architecture offers improved agility, scalability, and cost effectiveness. Analytics services such as Amazon EMR and Amazon Redshift have freed FINRA's data scientists from the constraints of desktop tools, allowing them to apply machine learning techniques to develop and test new surveillance patterns. All of this is done while meeting FINRA's security and compliance responsibilities as a financial regulator. At the end of this session, you'll have an understanding of how to apply FINRA's architecture to trade analytics and other financial services use cases, including meeting regulatory requirements such as the Consolidated Audit Trail (CAT) reporting.