Abnormal Trading and Link Analysis SITUATION: The SEC Enforcement Division had a requirement for a tool that combines multiple trade data sources with quantitative statistical analysis and querying techniques that could be used to identify Insider Trading and other trading violations.

SOLUTION: Aretec developed a data science platform, NEAT, that interfaced with ATLAS, a new Commission application that finds these potential financial security violations by surveying equity and fixed income data and identifying suspicious trading activity. ATLAS is a machine learning tool developed on the NEAT platform to take advantages of economy and scope, eliminating overlapping functionalities in the examination and investigation workflows.

BENEFIT: Our solution powers the analysis of SEC Enforcement Division Bluesheet timestamp cases and has resulted in over $6,000,000 in fines, and a backlog of fines to be levied. ATLAS is also responsible for numerous Insider Trading cases in the Commission’s Enforcement pipeline and has saved the Commission over $1,000,000 in development costs.