SIMULATED DATAAll figures shown are paper trading simulations for demonstration. Not real trading activity.
Compliance Dashboard
KYC/AML, surveillance, audit trail, system health
Total Accounts
1,869
KYC Verified
1,842
Pending Review
23
Flagged / Blocked
4
Emergency Kill Switch
Immediately halt all trading activity across all teams and strategies
Surveillance Alerts
2 ACTIVE| Type | Description | Severity | Status | Time |
|---|---|---|---|---|
| WASH TRADE | Rapid buy-sell pattern detected on TSLA (3 round trips in 5 min) | HIGH | INVESTIGATING | 14:28 |
| SPOOFING | Large order placed and cancelled within 200ms on NVDA | CRITICAL | OPEN | 13:55 |
| CONCENTRATION | NVDA position at 28.9% — approaching 30% limit | MEDIUM | MONITORING | 13:25 |
| WASH TRADE | Potential wash trade flagged on AAPL — under review | LOW | DISMISSED | 12:10 |
| CONCENTRATION | Technology sector at 48.2% — above 25% advisory | MEDIUM | ACKNOWLEDGED | 11:45 |
Alerts by Type (Last 30 Days)
Wash Trade12
12
Spoofing3
3
Concentration28
28
Front Running
0
Layering1
1
System Health
Trading EngineHEALTHY12ms99.99%
Risk EngineHEALTHY45ms99.97%
Market Data FeedHEALTHY3ms99.99%
Compliance ScannerHEALTHY120ms99.95%
Database ClusterHEALTHY8ms100%
Auth ServiceDEGRADED340ms99.82%
Audit Trail
20 entries2026-03-28 14:32:01SYSTEMSystemCircuit breaker check passed
2026-03-28 14:30:00RISKRisk EngineVaR recalculated: $2,180 (95%)
2026-03-28 14:28:45SURVEILLANCECompliance BotWash trade scan completed — 0 alerts
2026-03-28 14:15:22CONFIGAdminUpdated sector exposure limit: Tech 50% -> 55%
2026-03-28 14:10:00RISKRisk EnginePortfolio rebalance signal emitted
2026-03-28 14:00:00KYCSystemDaily KYC batch verification: 12 accounts processed
2026-03-28 13:55:30SURVEILLANCECompliance BotSpoofing detection sweep — 1 alert generated
2026-03-28 13:50:00SYSTEMSystemHeartbeat: all 6 subsystems operational
2026-03-28 13:45:12RISKRisk EngineDrawdown threshold 60% utilization
2026-03-28 13:30:00CONFIGAdminEmergency halt test — dry run successful
2026-03-28 13:25:00SURVEILLANCECompliance BotConcentration check: NVDA 28.9% (limit 30%)
2026-03-28 13:20:00SYSTEMSystemAPI rate limit audit — within bounds
2026-03-28 13:15:00RISKRisk EngineCorrelation matrix updated
2026-03-28 13:00:00SYSTEMSystemDatabase backup completed
2026-03-28 12:45:00CONFIGAdminUser role updated: analyst -> senior_analyst
2026-03-28 12:30:00KYCCompliance BotAML screening batch: 0 matches
2026-03-28 12:15:00SYSTEMSystemTLS certificate check — valid for 248 days
2026-03-28 12:00:00RISKRisk EngineStress test suite executed (6 scenarios)
2026-03-28 11:45:00SYSTEMSystemLog rotation completed
2026-03-28 11:30:00CONFIGAdminCompliance report generated for Q1 2026
Risk Disclosures