Nasdaq Market Surveillance

Powers market integrity on a global stage

This Solution Helps

  • Marketplaces
  • New Markets
  • Regulators
explore

For exchanges and trading venues, the ability to maintain a fair, transparent and safe market is critical to attracting liquidity

Our Nasdaq Market Surveillance (SMARTS) solutions provide you with a robust platform to manage cross-market, cross-asset, multi-venue surveillance.

Powerful visualization tools simplify the monitoring process by distilling complex information into a single snapshot that provides you with clear guidance on where to focus an investigation. You can also correlate real-time and historical data with detection patterns to ensure early detection of unusual trading patterns that could be potential breaches of exchange trading rules and practices.

 

How Has Volatility Impacted Surveillance?

How Can Nasdaq Market Surveillance help you?

Detect abuse

Identify of manipulative patterns in real-time with context surrounding irregular activities

Visualize activity

Leverage interactive visualizations for clear graphic support of market analysis and easy comparison of potentially abusive scenarios to normal market behavior

Analyze cases

Manage the case work flow via a detailed event analysis and arrangement, which can be leveraged and evidentiary support in regulatory cases

Replay

Drill down to the order book and replay any transaction for any security during any time period – including a complete audit trail and consolidation across different venues and books

Profile actors

Compare a traders' behavior against their history and their peers to identify uncharacteristic or high risk behavior

Gain market insights

Gain visibility into event behavior and flag risky changes via data and analytics

SOLUTION HIGHLIGHTS

Nasdaq Market Surveillance provides surveillance teams with the essential monitoring toolkit:

  • Functionality

    Robust and flexible workflow, supported by market-leading analysis and visualization tools

  • Performance

    Ability to load and process billions of messages daily and to identify undesirable behavior via a suite of  sophisticated alerts

  • Operability & Resilience

    Proven in a number of massive volume implementations, including those across Nasdaq markets

Choosing the right deployment method for your surveillance program:

Self-Hosted Solution

In this approach the solution is deployed and operated on your client environment. This can be either in your own hardware or on a third party cloud or hosting provider.

Managed Service

In this approach the hosting and operation is handled by the vendor. There are two options for hosting:
1. Cloud Based
2. Vendor Data Center
The Managed Service offering allows a similar level of bespoke solution flexibility as the self-hosted approach, the difference being the vendor is hosting and operating.

Surveillance as a Service

This is similar to the Managed Service offering. However, in this deployment method, the vendor offers standard architecture, alerting, reporting, and modules. This is a more streamlined approach which allows lower implementation cost and faster time to market, but with less customizability.

Our clients speak for themselves:

    BRVM

    May 2, 2019

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    • Behavioral Analysis in Market Surveillance: Going beyond data aggregation and standard statistical techniques

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    • Surveillance Deployment Guide

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    Contact the Nasdaq Market Surveillance team!

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