View the technical capacities of Nasdaq Trade Surveillance and its application to specific targeted industries, helping meet evolving requirements and regulations.
Learn how Nasdaq Trade Surveillance meets and helps overcome difficulties in data sorting, management, and trade alerts.
Learn how Nasdaq Trade Surveillance meets and helps overcome difficulties in data sorting, management, and trade alerts.
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See how Nasdaq Trade Surveillance can help your firm to keep pace with evolving regulations and effectively monitor across physical and financial energy markets.
See how Nasdaq Trade Surveillance can help your firm to keep pace with evolving regulations and effectively monitor across physical and financial energy markets.
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Learn more about our surveillance coverage built specifically for the unique attributes of foreign exchange markets.
Learn more about our surveillance coverage built specifically for the unique attributes of foreign exchange markets.
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Learn more about Nasdaq Trade Surveillance for Crypto Trading to help support the stability and integrity of the emerging digital assets ecosystem.
Learn more about Nasdaq Trade Surveillance for Crypto Spot Trading to help support the stability and integrity of the emerging digital assets ecosystem.
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Learn more about how Nasdaq Trade Surveillance reinforces market integrity by helping institutions detect abusive IRS trading behaviors, ensuring transparency and trust across global financial systems.
Please check your inbox for the Nasdaq Trade Surveillance for Interest Rate Swaps.
Learn how Nasdaq Trade Surveillance meets and helps overcome difficulties in data sorting, management, and trade alerts. Read the factsheet to learn how Nasdaq Trade Surveillance meets and helps overcome difficulties in data sorting, management, and trade alerts.
Please check your inbox to read your copy of Nasdaq Trade Surveillance Factsheet: Japanese Edition.
As a Nasdaq Financial Technology customer, Kiatnakin Phatra Securities (KKPS) gains the capabilities, agility and scalability it needs to help its business and the local market thrive, while also modernizing through cloud-deployed solutions. Read this case study to take a closer look at the evolution of the relationship between KKPS and Nasdaq and how both are futureproofing for the long term.
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Initially, participating brokers in the Shanghai-Hong Kong Stock Connect had to climb a steep learning curve when it came to monitoring for market abuse. In addition, they needed to reconsider their surveillance parameters for trading on the SZSE to reflect the differences between the two marketplaces.
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Please complete and submit the form to receive your copy of the factsheet.
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Please complete and submit the form to receive your copy of the factsheet.
Please check your the inbox for the factsheets.
Please complete and submit the form to receive your copy of the factsheet.
Please check your the inbox for the factsheet.
Catch up on the latest trends in surveillance – including how to optimize your surveillance strategy and major regulatory requirements impacting firms.
In collaboration with Chartis Research, Nasdaq surveyed 94 compliance professionals to determine their top challenges in the year ahead, the role of emerging technologies, the power of data scientists and technology staff, and the trends of regulatory-focused investments.
Access all the data and insights – download your copy of the 2024 Global Compliance Survey today.
Please check your inbox to read the 2024 Global Compliance Survey report.
The unique nature of how Fixed Income is traded means that, in order to avoid regulatory scrutiny, firms must tailor their surveillance programs to reflect product-specific risks. This paper highlights the Australian Securities and Investment Commission’s (ASIC) recent reports identifying concerns about the effectiveness of participants’ surveillance programs for Fixed Income.
Fill out the form to read this paper that highlights the Australian Securities and Investment Commission’s (ASIC) recent reports identifying concerns about the effectiveness of participants’ surveillance programs for Fixed Income.
Please check your inbox to read the whitepaper.
With MiCA regulation scheduled to go into effect in December, it is crucial for EU firms to implement the necessary technology and processes to ensure compliance and promote integrity in the crypto space. View our infographic to uncover key items your firm needs to know ahead of the upcoming MiCA deadline.
Selecting the ideal surveillance solution for your business is often a time-consuming and difficult experience. Learn more about key considerations to help assess the solution that best suits your firm.
Selecting the ideal surveillance solution for your business is often a time-consuming and difficult experience. Learn more about key considerations to help assess the solution that best suits your firm.
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Read this paper written by Chartis in collaboration with Nasdaq to learn the importance of trade surveillance for financial institutions and the key considerations for firms when implementing an effective solution.
Please check your inbox to read your copy of the 'Right-sizing' trade surveillance solutions – key components and considerations whitepaper.
Initially, participating brokers in the Shanghai-Hong Kong Stock Connect had to climb a steep learning curve when it came to monitoring for market abuse. In addition, they needed to reconsider their surveillance parameters for trading on the SZSE to reflect the differences between the two marketplaces. Our paper explains why brokers need a flexible surveillance solution that can be tailored to the characteristics of each market.
Please check your inbox to read your copy of the Monitoring the Shanghai- and Shenzhen-Hong Kong Stock Connect whitepaper.
Read about relevant news in the world of surveillance, including the relevance of surveillance in emergent fields, and how modern technologies are impacting companies’ surveillance strategies.
The growing intensity of regulatory scrutiny across Asia Pacific is prompting a profound rethink in the way regulated institutions approach regulatory compliance.
Learn what key developments are shaping the retail space and how surveillance teams are looking to ensure investor protection.
FINRA recently released its “2023 Report on FINRA’s Examination and Risk Monitoring Program,” which provides member firms with a summary of findings from recent oversight activities. Read the blog to learn more.
Read more about Kiatnakin Phatra Securities (KKPS) and their recent announcement to leverage Nasdaq Trade Surveillance technology.
See experts weigh in on the functionality of the Nasdaq Trade Surveillance solution, as well as the need for stable, reliable infrastructure across markets.
Ian Hawkins, head of Product Management at Nasdaq speaks to FinextraTV's Hannah Wallace about a recent prosecution by Dutch regulator, the AFM, and provides insights into the type of tradeable products that can be subject to this type of market abuse as well as some of the manipulative devices used.
Nasdaq hosted a webinar with ESMA discussing the implications of the MiCA regulation, focusing on surveillance, compliance, and the broader capital market ecosystem. They highlighted the current trends in the crypto market, detailed the provisions and challenges of MiCA, and emphasized the role of ESMA in ensuring compliance and promoting common supervisory practices across the EU.
Nasdaq hosted a webinar with ESMA discussing the implications of the MiCA regulation, focusing on surveillance, compliance, and the broader capital market ecosystem. They highlighted the current trends in the crypto market, detailed the provisions and challenges of MiCA, and emphasized the role of ESMA in ensuring compliance and promoting common supervisory practices across the EU.
Please check your inbox to watch the replay of the Market Integrity Under MiCA: A Recap with ESMA webinar.
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. Watch the webinar replay to learn how regulators are looking at surveillance and what protocols you need in place to ensure you are compliant.
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. Watch the webinar replay to learn how regulators are looking at surveillance and what protocols you need in place to ensure you are compliant.
Please check your inbox to watch the replay of the Maximizing Trade Surveillance Efficiency: Best Practices for Success webinar.
In partnership with Chartis Research, Nasdaq hosted a webinar to discuss the 2023 Global Compliance Survey's findings, including point-in-time analysis and historical data on compliance trends and challenges.
In partnership with Chartis Research, Nasdaq hosted a webinar to discuss the 2023 Global Compliance Survey's findings, including point-in-time analysis and historical data on compliance trends and challenges.
Please check your inbox to watch the replay of the Top Trends: Nasdaq's 2023 Global Compliance Survey webinar.
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