Nasdaq Buy-side Compliance Solution

Built specifically for asset managers and hedge funds, Nasdaq Buy-side Compliance is a trade surveillance platform built to help buy-side firms comply with global regulatory requirements such as MiFID II and MAR. The award-winning technology uses behavioral science to detect manipulative behaviors such as insider trading, front-running, market manipulation, and more.

Using behavioral profiling algorithms, Nasdaq Buy-side Compliance identifies trading patterns outside of individual benchmarks, flagging rogue trading patterns more accurately and efficiently. This reduces the amount of time compliance teams spend on investigating false positives, saving time and improving workflow efficiencies.



  

CHALLENGE
Institutions and individuals face greater accountability for market surveillance and conduct management, yet they mostly work with manual and slow processes that risk becoming obsolete in the face of regulatory pressure.
 
SOLUTION 
Nasdaq Buy-side Compliance market surveillance software delivers the deeper, faster and unprecedented insight needed to identify unusual trading behavior with higher levels of accuracy across the enterprise.
 
IMPACT
All trades are scrutinized. As a result, there is a faster focus on high-risk traders and proactive management of reports, and a greater response to regulators and firm reputation is maintained.

What makes Nasdaq Buy-side compliance different?

Financial services face an unprecedented ‘tsunami’ of regulation from MAR and MiFID II – the sheer volumes of data to be reported and monitored makes technological solutions an absolute necessity.

Compliance officers know their traders and they know their patterns of trading in a way mathematical models can’t. With rising compliance costs, however, continually scaling the team isn’t feasible. This is where behavioral science comes in to search your data the way a compliance officer does. Using behaviorally smart algorithms; Nasdaq Buy-side Compliance generates cases that compliance officers agree warrant investigation.

Nasdaq Buy Side Compliance Features

BEHAVIORAL HEATSCORE
Instantly identify outlying behaviors against individual benchmarks.
 COMPREHENSIVE REPORTING
Optimize the investigation process with clear, configurable reporting.
 REDUCE FALSE POSITIVES
An average of 80% reduction in false positives allows a focus on true Compliance activity.

  
CASE MANAGEMENT
Consolidate your data into a centralized stream and stay ahead of the regulators.
 FLEXIBLE PLATFORM
No individual, or organization is the same. That's why our solution adapts to your culture.
 VIDEO REPLAY
Understand the trade at the point of activity by watching the event as it unfolds.

“Nasdaq Buy-side Compliance is being used globally. This collaborative tool is setting a consistency of approach that’s enabling a new standard of workflow and reporting.”
– Compliance Officer

Nasdaq Buy-side Compliance wins Most Disruptive Technology Solution in the 2018 HFM US Technology Awards!

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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