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
Establishing an Institutional Brand - A Guide to Database Marketing
Cloud-based databases have become so comprehensive that investment consultants and asset owners now conduct manager research on an ongoing basis. Conducting complex screens well before any manager search or replacement is formally announced, these institutional allocators rely on databases to…
Hyperautomation in Anti-Financial Crime: Powering Transformation
This report explores the need for banks to invest in anti-financial crime (AFC) operations that are more effective and efficient. The industry is progressing toward 'hyperautomation', with systems attempting to replicate human decision making at scale - but must work harder to fight the financial…
The case for trade surveillance in FX and fixed-income markets
A central bank’s role is to provide its nation’s currency with price stability by controlling inflation and achieving steady GDP growth. As part of their mandates, central banks are among the governmental and independent bodies that set foreign exchange and interest rate benchmarks, and supervise…
Cryptocurrency Regulation Summary: 2022 edition
The market capitalization of crypto assets has grown significantly amid large bouts of price volatility. Moreover, the market capitalization of stablecoins has quadrupled in 2021 to more than US$120 billion. However, the large number of alleging fraud and money laundering is worrisome, financial…
Fine margins: Integrating risk and IM costs under new CCP risk models
This white paper assesses market participants’ efficiency in managing risk, margin and collateral amid increased volatility, and the transition to new central counterparty risk methodologies.
Top Three Triggers to Detect Window Dressing
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”.
Top 5 Triggers for Insider Trading: Leveraging Behavioural Science for Forensic Analysis
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.
MiFID II - Key Impacts for Trade Surveillance & Communications Monitoring
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.
Inside the mind of the compliance officer
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.
Dodd-Frank Position Limits: The Devil is in the Details
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…
Regulatory Information Brief: MiFID II - Trade Supervision: First Defence
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.
Regulatory Information Brief: MiFID II – Risk Requirements: Re-examining Risk
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.
Regulatory Information Brief: MiFID II - Trade Surveillance: Raising the bar
This white paper discusses the main catalysts for change in recent regulation and the implications this will have for businesses.