Trade Surveillance Readiness — MAR / MiFID II / FINRA 3110 — 4 Weeks
Kriv AI · Operations & Productivity
Certification per AWS Marketplace.
Evidence tier Source Confirmed · 4 captures on record
What the publisher says
As described on AWS Marketplace.
Trade surveillance is the single most-examined compliance surface at every US broker-dealer and EU investment firm in 2026 — and until now there has been no fixed-fee Trade Surveillance Readiness Assessment on AWS Marketplace.
FINRA's 2026 Annual Regulatory Oversight Report names manipulative-trading surveillance, CAT data quality, Reg BI, and Rule 3110 supervision as top exam priorities. Recent enforcement: JPM $920M spoofing (2020), BAC $24M spoofing (2023), Morgan Stanley block-trading $249M (2024), Deutsche Bank Securities $25M (FINRA 2023), Merrill $6M (FINRA 2024), record $80M BSA penalty on a BD (Mar 2026). In the EU, MAR enforcement by FCA / BaFin / AMF / CONSOB / CNMV continues to expand on STOR reporting, RTS 22 transaction reporting, and RTS 6 algorithmic-trading controls. Boards now ask CCOs, Heads of Surveillance, CROs, and GCs every 60 days: can we defend our trade-surveillance posture to FINRA, SEC, FCA, ESMA, our auditors, and our E&O carrier — in a single document?
Show the rest of the publisher’s description (5 more lines)
Most firms can't answer because the stack spans surveillance platforms (SMARTS, Actimize, Eventus, Scila, b-next), time-series datastores (OneTick, kdb+/q, Arctic), and clouds (on-prem + AWS + Azure). Big-4 / SI advisory (Capco, Deloitte, PwC, EY, KPMG) run $150K–$500K over 8–16 weeks. Platform vendors sell SaaS at $300K–$3M/year — not assessments. Nothing on AWS Marketplace today delivers a fixed-fee, cloud-agnostic, multi-regulator trade-surveillance readiness assessment in 4 weeks. This listing closes that gap.
Methodology informed by Kriv's 04B-Azure-Trade-Surveillance portfolio reference (Azure Synapse + Cosmos DB + Event Hubs — methodology reference, not a productized platform) and extended with AWS-native patterns (Kinesis + MSK + Lake Formation + SageMaker + Bedrock for examiner-ready alert-narrative drafting with human review + CloudTrail + S3 Object Lock for SEC Rule 17a-4 WORM) plus hybrid / on-prem coverage (OneTick, kdb+/q, Arctic) common at bulge-bracket.
4-week structure. Week 1: scoping + surveillance-platform + data-source + comms-surveillance inventory; prior WSPs, 3120 testing, and exam correspondence under NDA. Week 2: RAG-scored typology coverage across all 11 (spoofing, layering, wash, marking/banging the close, front-running, insider, cross-trading, momentum ignition, pump-and-dump, quote stuffing); end-to-end data-lineage with latency SLAs; de-identified alert sampling + false-positive/completeness analysis; cross-desk consistency; SR 11-7 + NIST AI RMF for ML detection; comms-surveillance review (voice + e-comms + off-channel + SEC 17a-4 WORM). Week 3: regulatory gap analysis (EU MAR 596/2014; MiFID II RTS 6/7/22/24/27/28; FINRA 3110/3120/3130/5210/5310/2111; SEC 15c3-5/17a-3/17a-4/611/606/613/Reg BI/Reg SHO; CFTC 23.600; NYDFS Part 500; FCA MAR 1–10 + SYSC + SUP 15; ESMA guidelines) + target-state cloud-agnostic architecture with AWS-vs-Azure TCO. Week 4: 90/180/365-day roadmap, 3110 WSP + 3120 testing + 3130 substantiation pack, examiner Q&A prep, 35–45 page board-ready report, 30-min executive readout (Enterprise: 2-hr Board readout + 90-day follow-up).
Three tiers. Foundation $25K (single desk; FINRA+SEC or MAR+MiFID II; core 5 typologies) for hedge funds, regional BDs, crypto-securities arms. Standard $40K (multi-desk; 7–10 typologies; FINRA+SEC+MAR+MiFID II; comms-surveillance light-touch; AWS-vs-Azure TCO) for mid-market BDs, regional bank BD arms, asset managers with execution. Enterprise $60K (global BD US+EU+UK; all 11 typologies; full regulator stack; full comms + 17a-4 WORM; vendor TCO model; 2-hr Board readout) for bulge-bracket, investment banks, HFT/market-makers. Optional Extra Regulator Framework $10K each (CFTC 23.600, NYDFS 500, FCA, BaFin, AMF, CONSOB, CNMV, IIROC/CIRO, MAS, SFC, ASIC).
Important disclosures. Kriv is NOT a registered BD, investment adviser, FINRA member, SEC-registered entity, CFTC-registrant, NFA member, FCA-authorized firm, ESMA-supervised entity, or NCA-registered firm. Kriv trades no securities, executes no trades, holds no customer funds, makes no suitability determinations, conducts no Rule 3110 supervision, and signs no 3120/3130/CAT/STOR/RTS 22/SUP 15 attestations on Customer's behalf. Kriv represents no clients before any regulator — no 8210 response authoring, Wells submissions, skilled-persons reviews, or expert-witness testimony. No "3110-ready" / "MAR-ready" / "CAT-ready" / "MiFID II-ready" certification exists. Findings are preliminary and are not opinion of counsel, actuarial opinion, or expert report — qualified securities counsel must review all deliverables. Bedrock / Claude-generated alert narratives and examiner-Q&A drafts are DRAFT only and require documented human review by qualified compliance + legal personnel. Anthropic CPN membership does not constitute Anthropic endorsement.
Highlights
Highlighted by the publisher on AWS Marketplace.
First trade surveillance readiness assessment on AWS Marketplace — fixed-fee, 4 weeks, cloud-agnostic, multi-regulator. Typology coverage RAG-scored across the 11 manipulation typologies (spoofing, layering, wash, marking the close, front-running, insider, cross-trading, momentum ignition, pump-and-dump, quote stuffing). Data-lineage walkthrough from origination through execution + settlement with latency SLAs; de-identified alert sampling with false-positive + completeness analysis.
Multi-regulator gap register — EU MAR + MiFID II (RTS 6/7/22/24/27/28) + FINRA 3110/3120/3130/5210/5310 + SEC 15c3-5/17a-4/611/606/613/Reg BI + CFTC 23.600 + NYDFS Part 500 + FCA MAR 1–10 + ESMA guidelines. Cross-desk consistency scorecard (equities/options/futures/FX/principal-vs-agency), comms-surveillance review (voice + e-comms + off-channel + SEC 17a-4 WORM), SR 11-7 MRM for ML detection, 3110 WSP + 3120 testing + 3130 certification substantiation pack.
AWS Select + Databricks + Anthropic CPN — cloud-agnostic (AWS + Azure + hybrid), methodology informed by 04B-Azure-Trade-Surveillance portfolio reference. Three tiers: Foundation $25K (single desk; FINRA+SEC or MAR+MiFID II) for regional BDs, hedge funds, crypto securities; Standard $40K (multi-desk; cross-jurisdictional) for mid-market BDs, asset managers with execution desks; Enterprise $60K (global BD; all 11 typologies; full regulator stack) for bulge-bracket and HFT/market-makers.
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Compliance
- FedRAMPConfirmedNot listed90%, registry-checkedNo FedRAMP Marketplace entry matched this vendor's domain, checked 2026-08-27registry recordas observed 2026-08-27
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Vendor
External enrichment · as of 2026-08-29
Sources
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