Nasdaq Fair Investor Allocation Reporting

ensures all assets are allocated fairly and equally.

This Solution Helps

  • Asset Managers
  • Hedge Funds
  • Investment Managers
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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 Analytics

    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.

    Investor Confidence

    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.

    Award Winning Compliance Technology
    5 X
    Award winner in 2018 & 2019 from Buy-side Technology and Hedge Fund Magazine (HFM)
    A colorful ferris wheel on a sunny day
    Our Story
    Since we acquired Sybenetix in 2017, we have become the industry leading compliance tool for asset managers and hedge funds around the world.
    Recognized Excellence
    Award Winning Compliance Technology
    5 X
    Award winner in 2018 & 2019 from Buy-side Technology and Hedge Fund Magazine (HFM)
    The FCA
    Ensuring that conflicts of interest are properly managed is central to the relationship of trust that must exist between asset managers and their customers.
    Georgina Philippou, Acting Director of Enforcement & Market Oversight, FCA
    Conflicts of Interest
    Conflict of interest is a major topic among the buy-side community – find out how you can use technology to more effectively perform side by side management analysis.
    Learn more about conducting side by side management

    Have a question? Contact our team!

    Resource Center

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