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Surveillance and Compliance

Trusted, proven technology for detection, documentation and investigation of market abuse.

Sophistication of trading technology. Complexity and ever-expanding volumes of data. Intense focus from regulators and government agencies around the world to improve efficiency, transparency and integrity across the markets. While traditionally, compliance has been seen as a basic business requirement, burdensome and time consuming that attracted little attention, today it is front in center, and requires the same investments in technology, resources and strategic focus at the front-office in order to keep pace with global regulatory mandates and market conditions.

By providing marketplaces, regulators and trading institutions, across both buy-and sell-sides with surveillance SMARTS, NASDAQ OMX helps ensure that customers are positioned to meet current needs and adhere to future requirements.

 

Trade Surveillance

With over 20 years of experience as the industry benchmark for real-time and T 1, cross-market surveillance platforms, NASDAQ OMX SMARTS technology powers surveillance and compliance for 40 marketplaces, 11 regulators and 90 market participants across 65 markets globally. Scalable to millions of transactions and flexible to manage a number of unique data sources, SMARTS holistically examines scenarios across multiple venues and asset classes. The solution effectively gathers the data required via direct feeds from trading venues, and provides intuitive visualizations and alerts that distill millions of pieces of data into an easily readable snapshot to efficiently identify potentially abusive instances.

 

Unparalleled Expertise

SMARTS technology goes well beyond "ticking the box". SMARTS is backed by a team of unrivalled financial and technology professionals who have in-depth understanding and insight into market surveillance, supervision and compliance. They understand the complex issues associated with maintaining market integrity, at exchanges, regulators and market participants and have developed systems that can both meet the multifaceted requirements of today, and are flexible enough to adapt to future requirements.
 

Beyond Trade Surveillance

From award-winning capabilities for market and trade surveillance to robust analytics and case management that enable firms to proactively conduct surveillance beyond the alert to partnerships with leaders in the eComms monitoring and relationship analytics space, NASDAQ OMX provides all of tools necessary to keep surveillance professionals ahead of the sophisticated traders they are watching.

 

Trade Surveillance Solutions:

 

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