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
This white paper examines the top three triggers for window dressing and portfolio pumping. It further provides recommendations firms should abide by to instil investor confidence and ensure global regulatory compliance.
Post-MiFID II Compliance: Can your market structure and execution infrastructure meet specified standards over the long haul?
This white paper explores post-MiFID II compliance. It further examines the bare necessities which organisations should be utilising in order to meet industry standards in the “long haul”.
This white paper explores how behavioural science technology can cut through data to help identify insider trading. It further examines how technology can identify suspicious trading, so teams can avoid the waves of false positives that occur from using systems which rely on mathematical models.
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.
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.
Commodity markets can be volatile, so end users routinely hedge the risk that prices will move against them and potentially eliminate some or all of their profit margin.At the same time, speculators with the expertise to spot trends are often willing to take on the risks that hedgers transfer to…
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.
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.
This white paper discusses the main catalysts for change in recent regulation and the implications this will have for businesses.