SMARTS TRADE SURVEILLANCE

For market participants, the ability to demonstrate fair and transparent trading and operations is critical to managing reputational risk and ensuring regulatory compliance. Today firms must monitor trading on an ever expanding number of markets, and require visibility across multiple venues and asset classes with a pool of data that is growing at a dramatic rate. As regulatory authorities continue to raise the stakes, having systematic controls and surveillance procedures in place is critical.




Recognized by the industry for its award-winning trade surveillance and monitoring capabilities, SMARTS Trade Surveillance enables compliance teams at sell-side firms to take a multifaceted approach to surveillance through a combination of traditional alerts-based monitoring and risk-based discovery.

As the industry benchmark for real-time and T+1 cross-market surveillance platforms, SMARTS Trade Surveillance technology leverages over 20 years of expertise to create meaningful alerts that analyze complexities in trading across asset classes and trading venues – automating the detection, investigation and analysis of potentially abusive or disorderly trading.

Complementing the library of over 210 pre-configured detection algorithms, SMARTS Trade Surveillance also offers a risk-based discovery approach that provides deep information on an individual’s behaviors in the context of market conditions, peer groups and their own individual norms – allowing users to uncover abusive behaviors and people that are more likely to manipulate the market based on their actions.

Nasdaq’s SMARTS Trade Surveillance solution continues to take a holistic approach to data – adopting next generation technologies, including machine intelligence and cloud, to effectively monitor for market risk and uphold market integrity.

SMARTS TRADE SURVEILLANCE OFFERS COVERAGE FOR:

Equities Futures & Options 
 
Commodities FX
 
Precious Metals Fixed Income 
 
Dark Pools Energy
 
Cryptocurrencies 

Key Features

FeatureDescription
ALERTS COVERAGEAccess to a wide array of market abuse behaviors andpre-configured alerts (i.e. market manipulation, insider trading, plus over 210 more).
ASSET CLASS COVERAGEComprehensive cross-asset, cross market surveillance, including coverage of 164+ global markets, spanning equities, derivatives, OTC, fixed income, FX, energy and commodities
ENTITY FOCUSED DETECTIONIdentification of potential over- or under-performance of an individual to identify high risk entities and complement traditional rules-based detection
SOPHISTICATED VISUALIZATIONSA consolidated view of market information across multiple venues, coupled with overlays of related securities market data in a single, intuitive snapshot
SERVICE MODELFully managed service, including access to an expert team that supports configuration and calibration of behaviors in all markets

Key Benefits

Reduce operational cost and complexity of the surveillance program via hosted solution and access to experts
Comply with market regulations and internal risk and compliance policies
Enhance visibility through complete cross-market views of trading
Future proof surveillance and compliance programs via the latest detection capabilities
Leverage the knowledge and experience of 20+ years in surveillance and tap into a community of over 3,500 compliance users globally


ADDITIONAL CAPABILITIES

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