Mercuria CSR Report 2021 - Flipbook - Page 29
2021 Corporate Social Responsibility
TRADE AND COMMUNICATIONS
SURVEILLANCE
At Mercuria we are committed to maintaining the integrity of the markets in which we trade and ensuring
that all of our employees who participate in markets do so in a way that is fully compliant with all relevant
rules and regulations. Mercuria has developed and implemented a robust framework for monitoring
our market activity and conducting trade surveillance analysis. Our company wide compliance culture
that clearly holds market integrity in the highest regard and this message is consistently delivered by
management across the company.
We have a suite of surveillance tools in place that enable us to scan for unusual behaviors and to
closely surveil our communications. We are continually reviewing our processes and data sources and
seeking opportunities to enhance our capabilities to achieve the most effective controls for quickly
investigating and resolving potentially legitimate alerts. These tools play a key role in expanding
our ability to detect potential rule, regulation, and procedural violations, as well as to conduct a
thorough review, escalation, analysis and, where necessary, remediation of such behaviors. Mercuria
is committed to proactively monitoring the global market risk landscape to identify areas of increased
manipulative market behavior and will put in place additional tools and reporting capabilities to better
mitigate these risks as they arise
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