Nasdaq Trade Surveillance

    Maximizing Trade Surveillance Efficiency: Best Practices for Success

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    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. You will learn how regulators are looking at surveillance and what protocols you need in place to ensure you are compliant.

    Access the webinar replay to learn how your firm can remain compliant in the face of regulatory scrutiny.

    Speakers

    Tony Sio

    Tony Sio

    Head of Regulatory Strategy and Innovation, Nasdaq

    Philip Mackenzie

    Philip Mackenzie

    Research Principal, Chartis Research

    Colin Telmer

    Colin Telmer

    Managing Director, Global Head of Trade Surveillance, Scotiabank

    ANTI-FINANCIAL CRIME

    Ally with Nasdaq's Anti-Financial Crime Technology

    Nasdaq Trade Surveillance

    Proactively detect market abuse and comply with regulations with time-tested and comprehensive cross-market, cross-asset trade surveillance technology.

    Proactively detect market abuse and comply with regulations with time-tested and comprehensive cross-market, cross-asset trade surveillance technology.

    Nasdaq Market Surveillance

    Maintain fair, transparent and safe markets with a robust platform for exchanges, marketplaces and regulators to manage cross-market, cross-asset, multi-venue surveillance.

    Maintain fair, transparent and safe markets with a robust platform for exchanges, marketplaces and regulators to manage cross-market, cross-asset, multi-venue surveillance.

    Nasdaq Crypto Surveillance

    Effectively mitigate risks across traditional and digital assets, fiat and crypto, and on and off-chain activities with a comprehensive suite of crypto-specific monitoring capabilities.

    Effectively mitigate risks across traditional and digital assets, fiat and crypto, and on and off-chain activities with a comprehensive suite of crypto-specific monitoring capabilities.