Nasdaq

Nasdaq is a leading provider of risk management, supervision, and trade surveillance solutions, serving over 47 marketplaces, 13 regulators and 113 market participants across 65 markets globally.

Through its innovative suite of risk, supervision, and surveillance offerings, Nasdaq supports its customers to meet current and future regulatory demands, to continuously adjust the monitoring and control systems to the rapidly changing trading environment, and to help protect firms against reputational risks.

To learn more about Nasdaq’s multi-asset solutions for Trade Surveillance, Trade Supervision, and Risk Management, visit: business.nasdaq.com/tech



All content by Nasdaq

MiFID II - Key Impacts for Trade Surveillance & Communications Monitoring

Company:Nasdaq

This white paper provides a overview and checklist of the key elements of MIFID II (and its accompanying Regulation – MiFIR) which are likely to create new obligations for your trade surveillance function. It further explores the regulatory technical standards issued and their area of influence.

Category: MiFiD | Published: 08 November 2017 | Type: White Paper

Rating: + 8

Inside the mind of the compliance officer

Company:Nasdaq

This white paper explores the evolution of compliance, as well as the relevant trends to keep an eye on for the future. It further addresses the key drivers for electronic communications monitoring, followed by the challenges involved.

Category: Compliance | Published: 11 July 2017 | Type: White Paper

Rating: + 14

Dodd-Frank Position Limits: The Devil is in the Details

Company:Nasdaq

Category: Regulation | Published: 15 June 2016 | Type: White Paper

Rating: + 7

Regulatory Information Brief: MiFID II - Trade Supervision: First Defence

Company:Nasdaq

This white paper explores what is involved in implementing new regulations and how the front office will need to adapt in response to the changes.

Category: Technology Systems and Software | Published: 16 May 2016 | Type: White Paper

Regulatory Information Brief: MiFID II – Risk Requirements: Re-examining Risk

Company:Nasdaq

This white paper outlines several key articles from MiFID II, which financial institutions should examine in order to make sure they comply with the new risk requirements.

Category: Technology Systems and Software | Published: 25 April 2016 | Type: White Paper

Rating: + 4

Regulatory Information Brief: MiFID II - Trade Surveillance: Raising the bar

Company:Nasdaq

This white paper discusses the main catalysts for change in recent regulation and the implications this will have for businesses.

Category: Technology Systems and Software | Published: 04 April 2016 | Type: White Paper

Rating: + 1