Nasdaq Surveillance Resources
Stay aware of the latest regulatory news and trends in surveillance.
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Nasdaq Trade Surveillance Factsheet
Learn how Nasdaq Trade Surveillance meets and helps overcome difficulties in data sorting, management, and trade alerts.
Nasdaq Trade Surveillance FactsheetNasdaq Market Surveillance Factsheet
Nasdaq Market Surveillance has nearly 30 years of experience as the industry benchmark for real-time and T+1, cross-market, cross-asset surveillance. Owning and operating 30+ venues enables Nasdaq to provide customers with unique surveillance advisory and best meet each client’s distinct surveillance needs.
Nasdaq Trade Surveillance for EnergyNasdaq Surveillance for FX & FX Option
Learn more about our surveillance coverage built specifically for the unique attributes of foreign exchange markets.
Nasdaq Trade Surveillance for FX & FX OptionNasdaq Surveillance for Crypto Trading
Learn more about Nasdaq Surveillance for Crypto Trading to help support the stability and integrity of the emerging digital assets ecosystem.
Nasdaq Trade Surveillance for Crypto Trading Factsheet2025 Nasdaq Global Compliance Survey
Now in its 10th year, Nasdaq’s Global Compliance Survey captures insights from compliance leaders, providing a clear snapshot of an industry in rapid evolution. Discover how teams are leveraging emerging technology like AI while navigating regulatory complexity.
Download the ReportChallenges of Effective Surveillance in Fixed Income Markets
The unique nature of how Fixed Income is traded means that, in order to avoid regulatory scrutiny, firms must tailor their surveillance programs to reflect product-specific risks. This paper highlights the Australian Securities and Investment Commission’s (ASIC) recent reports identifying concerns about the effectiveness of participants’ surveillance programs for Fixed Income.
Challenges of Effective Surveillance in Fixed Income MarketsMarkets in Crypto-Assets Regulation: Implementation and Key Stages
With MiCA regulation scheduled to go into effect in December, it is crucial for EU firms to implement the necessary technology and processes to ensure compliance and promote integrity in the crypto space. View our infographic to uncover key items your firm needs to know ahead of the upcoming MiCA deadline.
View the InfographicBuyer’s Guide: Key Considerations for Your Surveillance Solution
Selecting the ideal surveillance solution for your business is often a time-consuming and difficult experience. Learn more about key considerations to help assess the solution that best suits your firm.
Buyer’s Guide: Key Considerations for Your Surveillance SolutionThe Compliance Complexity Driving RegTech Demand in APAC
The growing intensity of regulatory scrutiny across Asia Pacific is prompting a profound rethink in the way regulated institutions approach regulatory compliance.
Read the BlogTop 6 Trends Impacting Retail and Implications for Surveillance Practitioners
Learn what key developments are shaping the retail space and how surveillance teams are looking to ensure investor protection.
Read the BlogSeeing the Whole Story: Cross-Product Manipulation and the New Surveillance Mandate
Read about how cross-product manipulation exploits complex relationships between related financial instruments across markets and jurisdictions, and why modern surveillance frameworks must evolve to detect abuse that spans asset classes, venues and timing.
Read the BlogKiatnakin Phatra Securities Advances Surveillance & Market Integrity Efforts in Thailand with Nasdaq Trade Surveillance
Read more about Kiatnakin Phatra Securities (KKPS) and their recent announcement to leverage Nasdaq Trade Surveillance technology.
Read the BlogFinextraTV: Monitoring for Market Abuse Across Related Instruments
Ian Hawkins, head of Product Management at Nasdaq speaks to FinextraTV's Hannah Wallace about a recent prosecution by Dutch regulator, the AFM, and provides insights into the type of tradeable products that can be subject to this type of market abuse as well as some of the manipulative devices used.
Watch the VideoMarket Integrity Under MiCA: A Recap with ESMA
Nasdaq hosted a webinar with ESMA discussing the implications of the MiCA regulation, focusing on surveillance, compliance, and the broader capital market ecosystem. They highlighted the current trends in the crypto market, detailed the provisions and challenges of MiCA, and emphasized the role of ESMA in ensuring compliance and promoting common supervisory practices across the EU.
Market Integrity Under MiCA: A Recap with ESMAMaximizing Trade Surveillance Efficiency: Best Practices for Success
Effective trade surveillance programs involve a combination of technology, processes and people. In this session, we discuss how you can fine-tune your surveillance program. Watch the webinar replay to learn how regulators are looking at surveillance and what protocols you need in place to ensure you are compliant.
Maximizing Trade Surveillance Efficiency: Best Practices for SuccessNavigating Complex Market Surveillance - From Trends to Solutions
Ian Hawkins, Head of Nasdaq Trade Surveillance Product Strategy, discusses the complexity of monitoring for cross-product manipulation.
Watch the Video