Regulatory Advisory

for best practices in setting regulatory strategy.

This Solution Helps

  • Regulators
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Setting regulatory strategy and encouraging a culture of integrity within your constituents is essential to maintaining fair and transparent markets.

Our Regulatory Advisory services bring you in depth experience and knowledge transfer on international global markets, tailoring programs to meet organizational goals. From rule writing, to regulatory response letters to corporate governance and surveillance best practices, we offer a broad range of regulatory intelligence to help your organization design your program to be on par with the market

Nasdaq Regulatory Consultancy

Advisory services based upon experience operating 33 markets, CSDs and a clearinghouse across multiple countries

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Nasdaq Regulatory Academy

Onsite regulatory training and certification, with tailored modules on a wide variety of topic areas to meet unique needs

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NASDAQ'S SURVEILLANCE POWERS
68
marketplace and exchanges around the world
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Nasdaq Regulatory Advisory
Regulatory intelligence to help your organization with implementation of best practices in setting regulatory strategy
Find out more
NASDAQ'S SURVEILLANCE POWERS
68
marketplace and exchanges around the world

We offer advisory for:

Listing & Corporate Legal

• Listing requirements
• Disclosure rules, trading and regulatory halts
• Corporate Governance Accounting
• Rule writing
• Legal interpretations
• Corporate law and governance
• Market structure

Market Structure

• Real-time surveillance
• Rules and Broker Compliance
• Listings
• Legal
• Membership
• Post Trade Regulation

Rules & Broker Compliance

• Alert review
• Rules
• Supervisory procedures
• Registration and licenses
• Examinations and investigations
• Market access rules
• Clearing and settlement

Membership

• Membership requirements
• Background checks
• Record-keeping
• Testing of associated persons

Post-Trade Regulation

• Manipulation
• Floor surveillance
• Investigations
• Enforcement

Surveillance

• Alert review
• Information search
• Advice to traders and firms
• Tutorial in surveillance systems

Contact us to learn more!

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