Case #1

In Case #1, each occurrence of a particular event should result in a match. For example, identify each instance in which an employee trades a security on a restricted list.

The recommended approach to this issue is to create a dataset to identify the cases of interest—in this case by joining together tables involving trades, restricted securities, system user/account mappings, and date control information. If additional restrictions apply (for example, minimum order size), create dataset filters to eliminate the unwanted cases. The matches should be generated with a rule pattern that contains only a primary rule. If desired, use the Focus Clustering option in the Rule Matcher to collect all activity for an employee into a single match.