Uplands Mutual tightens communications monitoring
How Uplands Mutual worked with us on tightens communications monitoring.
When the regulator asked about best execution, we had the evidence ready instead of spending a week building it.Zoe Meier, Head of Data Science, Uplands Mutual
The challenge
Best execution reporting was assembled by hand each quarter, and the firm struggled to evidence its monitoring when the regulator asked.
Our approach
We brought orders, trades, and communications into a single surveillance case view, tuned alert logic against reviewed outcomes, and gave the team one place to investigate and record decisions.
The result
The firm produced best-execution evidence on demand and answered its next regulatory query with a documented trail rather than a scramble.
Best execution reporting was assembled by hand each quarter, and the firm struggled to evidence its monitoring when the regulator asked. We brought orders, trades, and communications into a single surveillance case view, tuned alert logic against reviewed outcomes, and gave the team one place to investigate and record decisions. The firm produced best-execution evidence on demand and answered its next regulatory query with a documented trail rather than a scramble.
This case study is written by the vendor and describes their own work. Outcomes have not been independently verified by RegTech Radar.