Nasdaq (SMARTS) Trade Surveillance

for automated capture and monitoring of all trading activity.

This Solution Helps

  • Banks
  • Brokers
  • Retail Broker Dealers
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Demonstrating fair and transparent trading and operations is critical to managing reputational risk and ensuring regulatory compliance.

 

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Today firms are monitoring trading on more markets than ever before, which requires visibility across multiple venues and asset classes with a pool of data that is growing at a dramatic rate. 

As regulatory authorities continue to raise the stakes, having systematic controls and surveillance procedures in place is critical.

Via a combination of traditional alerts-based monitoring and risk-based discovery, we help compliance teams take a multifaceted approach to surveillance. Our SMARTS Trade Surveillance solutions provide deep information on an individual’s behaviors in the context of market conditions, peer groups and their own individual norms – allowing you to uncover abusive behaviors and people that are more likely to manipulate the market based on their actions.

SMARTS TRADE SURVEILLANCE MILESTONE
160+
sell-side firms leverage SMARTS Trade Surveillance
Spices piled in wooden spoons and laid out on a table
Recognized Excellence
In 25 years, we've become the industry benchmark for surveillance and compliance monitoring.
Client Stories
SMARTS TRADE SURVEILLANCE MILESTONE
160+
sell-side firms leverage SMARTS Trade Surveillance

How Can Nasdaq SMARTS Trade Surveillance help you?

Gain Transparency & Comply with Market Regulations

Ability to link trading activity across venues and asset classes enables compliance with regulatory mandates and ensures that potential gaming or abuse is not left undetected when conducted across multiple marketplaces or asset classes

Reduce Operational Cost & Complexity

Hosted technology and customized data feeds allow for minimization of external data gathering and mapping, reduced time-to-market and decreased total cost of ownership

Future-Proof your Surveillance Program

A flexible, user-friendly solution provides market coverage based upon business needs and risk exposure with the ability to rapidly implement new trading venues to ensure compliance even as business strategy changes

SURVEILLANCE REACH
183
markets covered
umbrella
Market Coverage
Oversight spans global equity and derivatives markets, as well as OTC products, fixed income, FX, energy and commodities.
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SURVEILLANCE REACH
183
markets covered

SMARTS Trade Surveillance Service Features

From sourcing and capturing data to alert detection, escalation and management, we help compliance teams proactively detect market abuse across multiple data sources.

  • DETECT

    Monitor for malicious trading activity via effective, targeted and transparent logic based alerts

  • REVIEW & INVESTIGATE

    Leverage surveillance visualizations and reporting tools for deeper interrogation of alerts and trading scenarios, with timely access to relevant trading data

  • MANAGE

    Efficiently handle and process system alerts and outputs

  • DISCOVER

    Interrogate trading and compliance data to support investigative inquiries and further explore data to flag trader or account behavior risk

Our surveillance solutions offer coverage for:

Equities

Over 20 years of experience as the industry benchmark for real-time and T+1, cross-market, cross-asset surveillance platforms.

Futures & Options

Functionality to link options, futures, equities, FX, energy and commodities across global trading venues.

Commodities

Supports contracts traded on over 40 global energy and commodity markets.

FX

Co-developed in partnership with major FX trading firms to monitor for manipulation within FX markets.

Precious Metals

Ability to monitor and flag trading in OTC Precious Metals for possible manipulation of benchmark fixes, trading-with-knowledge, unusual pricing and other suspect behaviors of interest.

Fixed Income

Coverage of both ‘pure’ OTC and on-venue activity, providing a complete surveillance solution for your fixed income business.

Dark Pools

Ability to monitor multilateral dark pools (ATS and MTFs), as well as internalized trading (trading into internal crossing networks or liquidity aggregators, or systematic internalizers).

Energy

Alerts designed specifically for energy contracts and the regulations they must abide by — such as REMIT, MAR, FERC and CFTC conduct rules.

Cryptocurrencies

Proactive discovery within crypto markets to ensure transparency and integrity standards are met.

Related Solutions

Are you a Marketplace or Regulator?

Contact the SMARTS Trade Surveillance team!

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Resource Center

  • SMARTS Trade Surveillance Factsheet

    SMARTS Trade Surveillance Factsheet

    SMARTS Trade Surveillance Factsheet

    Data is currently not available
  • SMARTS Trade Surveillance for Energy

    SMARTS Trade Surveillance for Energy

    Data is currently not available
  • SMARTS Trade Surveillance for FX

    SMARTS Trade Surveillance for FX

    Data is currently not available
  • SMARTS Trade Surveillance for Precious Metals

    SMARTS Trade Surveillance for Precious Metals

    Data is currently not available
  • SMARTS Trade Surveillance - Lens

    SMARTS Trade Surveillance - Lens

    Data is currently not available
  • 2018 Nasdaq Global Compliance Survey

    2018 Nasdaq Global Compliance Survey

    2018 Nasdaq Global Compliance Survey

    Data is currently not available
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