Prove fair and equal treatment of all clients
Nasdaq Fair Investor Allocation Reporting processes firm transaction information and delivers a cloud-based, managed solution—providing measurable evidence of best executions and allocations for every client with a side-by-side management analysis. The solution groups together and compares trades, showing in-depth information including execution time, execution price and fraction of the order executed at that particular time. It also provides a report for regulators and compliance officers to prove that assets are being allocated both fairly and equally.
Behavioral profiling analytics compare clustering algorithms, comparing trades 'side by side' to ensure that all assets are allocated fairly and equally.
The behavioral heatscore compares trading patterns , alerting compliance teams to cases that could be conflicts of interest. By combing through each trade and assigning behaviors a heatscore, compliance officers are able to reduce the amount of time they spend looking into alerts, drastically reducing false positives.
Side by Side Management
Compares trade activity side by side to prove that assets are allocated fairly and equally across all clients.
Having full transparency into the allocation of assets, proves to clients and regulatory bodies that portfolio managers are not favoring based on compensation or growth and treating all accounts equally. This improves efficiency over manual tracking of allocations, decreasing audit complexity and illustrating demonstratable controls over fair treatment of customers.
Why is managing conflicts of interest important?
Compliance with Regulatory Requirements
Have confidence that all regulatory requirements are being met, including MiFID II, MAR, SMR, and be prepared for the SEC's NEAT exam.
Transparency into asset allocation
Using side by side management analysis, compliance teams can compare trading activity side by side to prove fair asset allocation and equal treatment of all clients.
Regulatory bodies have increased scrutiny on buy-side firms. An automated solution ensures that your firm is complying with regulation, avoiding negative press and instilling investor confidence, knowing all assets are allocated fairly and equally.
Articles & Blogs
Nasdaq Buy-side Compliance Factsheet
How to Detect Insider Trading
Top Three Triggers to Detect Front-Running
MiFID II Checlist for the Buy-side
Selecting a Surveillance & Compliance Solution: Buyer's Guide for the Buy-side
Top Compliance Trends for the Buy-side