Nasdaq Fair Investor Allocation Reporting

In a vastly competitive environment, it is essential that asset management companies can prove fair and equal treatment for all their clients. That’s why we created Nasdaq Fair Investor Allocation Reporting.

Nasdaq Fair Investor Allocation Reporting processes firm transaction information and delivers a cloud-based, managed solution—providing measurable evidence of best executions and allocations for every client with a side-by-side management analysis. The solution groups together and compares trades, showing in-depth information including execution time, execution price and fraction of the order executed at that particular time. It also provides a report for regulators and compliance officers to prove that assets are being allocated both fairly and equally.



  

CHALLENGE
Institutions and individuals face greater accountability when it comes to how they treat their investors, yet they mostly work with manual and slow processes that risk becoming obsolete in the face of regulatory pressure.
 
SOULTION
Nasdaq Fair Allocation Investor Reporting searches for patterns of suspicious, unfair trading behavior— demonstrating whether an asset management company is treating its clients fairly and equally.
 
IMPACT
All trades are scrutinized. As a result, there is a faster focus on high-risk traders and proactive management reporting, and a greater response to regulators and firm reputation is maintained.


Key Benefits
Transparency into allocation of assets
Demonstrable controls and reports to show fair treatment of customers
Efficiency improvements over manual tracking of allocations
Decreased audit complexity


Key Features
Ability to review averages over a specific historic time window
Ability to generate an alert at the point when the averages over a rolling time window show a significant difference Integration with surveillance and personal account monitoring systems
Cloud-based, fully managed solution
Enhanced visibility with side-by-side management analysis, ensuring that all assets are allocated fairly and equally

Nasdaq Acquires Sybenetix

The acquisition of Sybenetix further expands Nasdaq’s leadership in the surveillance space and makes it a leading provider to the buy-side industry.
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