SMARTS Trade Surveillance for the Sell-Side: Core Platform

SMARTS Trade Surveillance for the Sell-Side: Core Platform

Recognized by the industry for its award-winning trade surveillance and monitoring capabilities, SMARTS Trade Surveillance enables compliance teams at sell-side firms to minimize the most common surveillance challenges:

  • Translating regulatory guidelines/rules governing trading conduct into trading alerts that effectively identify potentially abusive trading behavior
  • Efficiently analyzing and managing alerts and outputs, and demonstrating appropriate review and escalation of alerts
  • Sourcing, capturing and maintaining data elements required to conduct a complete review of all trading activity

As the industry benchmark for real-time and T+1 cross-market surveillance platforms, SMARTS Trade Surveillance technology leverages over 20 years of experience to create meaningful alerts that analyze complexities in trading across both asset classes and trading venues. SMARTS Trade Surveillance automates the detection, investigation and analysis of potentially abusive or disorderly trading, to help improve the overall efficiency of the surveillance organization and reduce cost, even as market complexity and new regulations increase.

The solution has direct connectivity to market centers and covers a wide range of asset classes over 120 trading venues. SMARTS Trade Surveillance's hosted SaaS delivery enables users to leverage a library of alerts developed from over 117 customers, reduces infrastructure requirements and also provides the ability for new firms to be up and running in a matter of a few weeks from project inception. SMARTS Trade Surveillance is currently used by over 1,000 surveillance professionals globally.

Nasdaq SMARTS Trade Surveillance and Digital Reasoning’s industry leading cognitive computing platform, Synthesys, provide next generation, holistic surveillance technology to the global capital markets, including brokers, buy-side, regulators and exchanges.
With pre-configured trading and surveillance alert visualization dashboards, Nasdaq’s surveillance analytics capabilities allow for a deeper understanding of alerts and data sets.
With the ability to view OTC assets in the context of selected markets, Nasdaq SMARTS Surveillance is able to bring clarity to monitoring opaque OTC markets.
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