Nasdaq is a leading provider of risk management, supervision, and trade surveillance solutions, serving over 47 marketplaces, 13 regulators and 113 market participants across 65 markets globally.
Through its innovative suite of risk, supervision, and surveillance offerings, Nasdaq supports its customers to meet current and future regulatory demands, to continuously adjust the monitoring and control systems to the rapidly changing trading environment, and to help protect firms against reputational risks.
To learn more about Nasdaq’s multi-asset solutions for Trade Surveillance, Trade Supervision, and Risk Management, visit: business.nasdaq.com/tech
This white paper examines the top three triggers for window dressing and portfolio pumping. It further provides recommendations firms should abide by to instil investor confidence and ensure global regulatory compliance.
This white paper explores how behavioural science technology can cut through data to help identify insider trading. It further examines how technology can identify suspicious trading, so teams can avoid the waves of false positives that occur from using systems which rely on mathematical models.
This white paper provides a overview and checklist of the key elements of MIFID II (and its accompanying Regulation – MiFIR) which are likely to create new obligations for your trade surveillance function. It further explores the regulatory technical standards issued and their area of influence.
This white paper explores the evolution of compliance, as well as the relevant trends to keep an eye on for the future. It further addresses the key drivers for electronic communications monitoring, followed by the challenges involved.