Nasdaq Buy-Side Asset Management Compliance

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c1.2,0,2.2,0.7,2.6,1.7l3.3,9.1l-5.7,15.7c-0.1,0.4-0.3,0.6-0.4,0.7C35.4,43.5,34.6,44,33.6,44z"/> <path class="st0" mask="url(#mask-1386073221)" d="M35,44.6L35,44.6c1.2-0.1,2.1-0.9,2.5-2L53,0h16.7L54.1,42.7c-0.4,1.1-1.5,2-2.8,2H35"/> </svg> </div> </div> <div class="error-state">Data is currently not available</div> </div> <div class="search-overlay"> </div> </div> </div> </div> </div> </div> </div> </div> <main class="page__main" role="main"> <div class="modal-overlay"></div> <a id="main-content" tabindex="-1"></a> <div class="page__content"> <div data-drupal-messages-fallback class="hidden"></div> <article class="solutions-detail"><header class="solutions-statement-hero"><div class="solutions-statement-hero__bg solutions-statement-hero__bg--gradient-3" aria-hidden="true"> <picture class="picture"><source media="all and (min-width: 1200px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/2019-08/AdobeStock_207392649.jpeg 1x"></source><source media="all and (min-width: 768px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/2019-08/AdobeStock_207392649.jpeg 1x"></source><source type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/2019-08/AdobeStock_207392649.jpeg 1x"></source><img class="media__image media__element b-lazy b-responsive" data-src="/sites/acquia.prod/files/2019-08/AdobeStock_207392649.jpeg" src="data:image/gif;base64,R0lGODlhAQABAIAAAAAAAP///yH5BAEAAAAALAAAAAABAAEAAAIBRAA7" alt="Colorful balloons gathered together" typeof="foaf:Image"/></picture></div> <div class="solutions-statement-hero__grid"> <div class="solutions-statement-hero__content"> <h1 class="solutions-statement-hero__title">Nasdaq Buy-Side Compliance</h1> <p class="solutions-statement-hero__statement"> provides <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-trade-surveillance">trade surveillance</a> & global regulatory compliance.</p> <div class="solutions-statement-hero__audience"> <h3 class="solutions-statement-hero__audience__title">This Solution Helps</h3> <ul class="solutions-statement-hero__audience__list"><li class="solutions-statement-hero__audience__list-item"> Asset Managers </li> <li class="solutions-statement-hero__audience__list-item"> Hedge Funds </li> <li class="solutions-statement-hero__audience__list-item"> Investment Managers </li> </ul></div> <span class="solutions-statement-hero__cta">explore</span> </div> </div> </header><div class="layout layout--2-col-large"> <div class="layout--main"> <div class="solutions-detail-intro"> <div class="solutions-detail-intro__white-square"></div> <div class="solutions-detail-intro__bg"></div> <div class="solutions-detail-intro__statement"> <div class="solutions-detail-intro__statement-text"> <p>Cross-asset class coverage, protecting firms from manipulative behaviors such as insider trading, market manipulation, and breach of fiduciary duties.</p> </div> </div> <div class="solutions-detail-intro__media"> <div class="solutions-detail-intro__media-box"> <div class="solutions-detail-intro__media-wrapper"> <div class="brightcove-player sizing-fixed"> <video-js controls="" id="player" data-account="5699924556001" data-embed="default" data-player="BjJQ1cQHCo" data-usage="cms:drupal:8.8.8:8.x-2.0:javascript" data-video-id="6018176343001" height="" width=""></video-js><ol class="vjs-playlist"></ol><script src="//web.archive.org/web/20201031082728js_/https://players.brightcove.net/5699924556001/BjJQ1cQHCo_default/index.min.js"></script><script> <![CDATA[// ><!]]> </script></div> </div> <button class="solutions-detail-intro__button solutions-detail-intro__button--play"> <span class="solutions-detail-intro__button-icon"></span> </button> </div> </div> </div> <div class="body"> <div class="body__content"> <p><span><span><span><span><span><span><span><span>Built specifically for asset managers and hedge funds, Nasdaq Buy-side Compliance is a <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-trade-surveillance">trade surveillance</a> and case management solution designed to help buy-side firms comply with global regulatory requirements such as Market Abuse Regulation (MAR), MiFID II, Senior Managers Regime, and Securities and Exchange Commission (SEC) mandates. The award-winning technology uses behavioral science to detect manipulative behaviors such as insider trading, front-running, market manipulation, and more. </span></span></span></span></span></span></span></span></p> <p><span><span><span><span><span><span><span><span>Using a behavioral profiling algorithms, Nasdaq Buy-side Compliance automates the testing process by identifying trading patterns outside of individual benchmarks, flagging suspicious or unusual investment and trading activities more accurately and effectively. This reduces the amount of time compliance teams spend on investigating false positives, saving time and improving workflow efficiencies. </span></span></span></span></span></span></span></span></p> <ul><li><span><span><span><strong><span><span><span><span><span>Behavioral and Trading Heatscore</span></span></span></span></span></strong><span><span><span><span><span> that instantly identifies outlying trading patterns against individual benchmarks as well as the company at large, <em>drastically reducing false positives and prioritizing risk alerts. </em></span></span></span></span></span></span></span></span></li> <li><span><span><span><strong><span><span><span><span><span>Comprehensive reporting</span></span></span></span></span></strong><span><span><span><span><span> to optimize the investigation process with clear, configurable reports for regulatory readiness, and robust <strong>case management,</strong> with full audit trail<strong>,</strong> to consolidate data into a centralized stream </span></span></span></span></span></span></span></span></li> <li><span><span><span><span><span><span><span><span><strong>Video replay</strong> that aggregates trade transactions, holdings, asset under management, market data, financial news, and other data points to instantly replay trades at the point of activity</span></span></span></span></span></span></span></span></li> </ul></div> </div> <div class="feature-drawer__container"> <div class="feature-drawer"> <h2 class="feature-drawer__title">Behavioral Analytics</h2> <p class="feature-drawer__description">Using behavioral science, Nasdaq Buy-side Compliance analyzes the investment and trading patterns of each portfolio manager and assigns each trade a behavioral heatscore, helping compliance teams quickly identify potentially abusive behaviors. </p> <div class="feature-drawer__drawer accordion__drawer"> <div class="feature-drawer__inner accordion__inner"> <span class="feature-drawer__drawer-text"><p>Each trade is assigned a behavioral heatscore, which compares trading patterns to the ‘normal’ pattern of each portfolio manager, instantly identifying outlying behaviors against individual benchmarks.The behavioral heatscore identifies rogue trading patterns against an individual fingerprint, alerting compliance teams to cases that warrant investigation. By investigating each trade and assigning behaviors a heatscore, compliance officers are able to reduce the amount of time they spend looking into alerts, drastically reducing false positives.</p></span> </div> </div> <button class="feature-drawer__toggle accordion__toggle" data-opentext="See Less" data-closetext="See More">See More</button> </div> </div> <div class="feature-drawer__container"> <div class="feature-drawer"> <h2 class="feature-drawer__title">Personal Account Surveillance</h2> <p class="feature-drawer__description">Leveraging a price volatility model & pattern recognition algorithms, the additional module compares employee personal trading activity to the market at large to identify trading ahead of significant market events or activities. </p> <div class="feature-drawer__drawer accordion__drawer"> <div class="feature-drawer__inner accordion__inner"> <span class="feature-drawer__drawer-text"><p>- Visibility into employee trading activity</p> <p>- Efficient identification of suspicious trading</p> <p>- Ability to demonstrate sophisticated controls to regulators & investors</p> <p>- Protection of firm against manipulative behavior such as front-running or tailgating scenarios</p></span> </div> </div> <button class="feature-drawer__toggle accordion__toggle" data-opentext="See Less" data-closetext="See More">See More</button> </div> </div> </div> <aside class="layout--right-rail"><div class="inside-container"> <section class="support-sidebar"><div class="support-contact support-sidebar__section "> <header class="support-contact__header"><h3 class="support-sidebar__section__title"> Support </h3> <p class="support-sidebar__section__description"> Have a question? Please contact us for more information. </p> </header><div class="support-contact__content"> <ul class="support-contact__list"><li class="support-contact__list-item"> <h4 class="support-contact__name">Market Technology</h4> <a href="https://web.archive.org/web/20201031082728/mailto:markettech@nasdaq.com" class="support-contact__contact-method support-contact__contact-method--email">markettech@nasdaq.com</a> </li> </ul><a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-buy-side-compliance#resource-center" class="support-contact__cta">GET MORE INFORMATION HERE</a> </div> </div> <div class="support-newsletter-signup support-sidebar__section"> <h3 class="support-sidebar__section__title"> Contact Us </h3> <p class="support-sidebar__section__description"> Stay up to date on Nasdaq's Buy-side Compliance webinars, events, product enhancements & more. <br/></p> <div class="form form--blue" data-form-id="1728"> <div class="eloqua-form"> <div><form method="post" 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Caledonia</option><option value="New Zealand">New Zealand</option><option value="Nicaragua">Nicaragua</option><option value="Niger">Niger</option><option value="Nigeria">Nigeria</option><option value="Niue">Niue</option><option value="Norfolk Island">Norfolk Island</option><option value="Northern Mariana Islands">Northern Mariana Islands</option><option value="Norway">Norway</option><option value="Oman">Oman</option><option value="Pakistan">Pakistan</option><option value="Palau">Palau</option><option value="Palestinian Territory, Occupied">Palestinian Territory, Occupied</option><option value="Panama">Panama</option><option value="Papua New Guinea">Papua New Guinea</option><option value="Paraguay">Paraguay</option><option value="Peru">Peru</option><option value="Philippines">Philippines</option><option value="Pitcairn">Pitcairn</option><option value="Poland">Poland</option><option value="Portugal">Portugal</option><option value="Puerto Rico">Puerto Rico</option><option value="Qatar">Qatar</option><option value="Reunion">Reunion</option><option value="Romania">Romania</option><option value="Russian Federation">Russian Federation</option><option value="Rwanda">Rwanda</option><option value="Saint Barthélemy">Saint Barthélemy</option><option value="Saint Helena, Ascension and Tristan da Cunha">Saint Helena, Ascension and Tristan da Cunha</option><option value="Saint Kitts and Nevis">Saint Kitts and Nevis</option><option value="Saint Lucia">Saint Lucia</option><option value="Saint Martin (French part)">Saint Martin (French part)</option><option value="Saint Pierre and Miquelon">Saint Pierre and Miquelon</option><option value="Saint Vincent and the Grenadines">Saint Vincent and the Grenadines</option><option value="Samoa">Samoa</option><option value="San Marino">San Marino</option><option value="Sao Tome and Principe">Sao Tome and Principe</option><option value="Saudi Arabia">Saudi Arabia</option><option value="Senegal">Senegal</option><option value="Serbia">Serbia</option><option value="Seychelles">Seychelles</option><option value="Sierra Leone">Sierra Leone</option><option value="Singapore">Singapore</option><option value="Sint Maarten (Dutch part)">Sint Maarten (Dutch part)</option><option value="Slovakia">Slovakia</option><option value="Slovenia">Slovenia</option><option value="Solomon Islands">Solomon Islands</option><option value="Somalia">Somalia</option><option value="South Africa">South Africa</option><option value="South Georgia and the South Sandwich Islands">South Georgia and the South Sandwich Islands</option><option value="South Sudan">South Sudan</option><option value="Spain">Spain</option><option value="Sri Lanka">Sri Lanka</option><option value="Sudan">Sudan</option><option value="Suriname">Suriname</option><option value="Svalbard and Jan Mayen">Svalbard and Jan Mayen</option><option value="Swaziland">Swaziland</option><option value="Sweden">Sweden</option><option value="Switzerland">Switzerland</option><option value="Syrian Arab Republic">Syrian Arab Republic</option><option value="Taiwan">Taiwan</option><option value="Tajikistan">Tajikistan</option><option value="Tanzania, United Republic of">Tanzania, United Republic of</option><option value="Thailand">Thailand</option><option value="Timor-Leste">Timor-Leste</option><option value="Togo">Togo</option><option value="Tokelau">Tokelau</option><option value="Tonga">Tonga</option><option value="Trinidad and Tobago">Trinidad and Tobago</option><option value="Tunisia">Tunisia</option><option value="Turkey">Turkey</option><option value="Turkmenistan">Turkmenistan</option><option value="Turks and Caicos Islands">Turks and Caicos Islands</option><option value="Tuvalu">Tuvalu</option><option value="Uganda">Uganda</option><option value="Ukraine">Ukraine</option><option value="United Arab Emirates">United Arab Emirates</option><option value="United Kingdom">United Kingdom</option><option value="United States Minor Outlying Islands">United States Minor Outlying Islands</option><option value="Uruguay">Uruguay</option><option value="Uzbekistan">Uzbekistan</option><option value="Vanuatu">Vanuatu</option><option value="Venezuela, Bolivarian Republic of">Venezuela, Bolivarian Republic of</option><option value="Viet Nam">Viet Nam</option><option value="Virgin Islands (British)">Virgin Islands (British)</option><option value="Virgin Islands, U.S.">Virgin Islands, U.S.</option><option value="Wallis and Futuna">Wallis and Futuna</option><option value="Western Sahara">Western Sahara</option><option value="Yemen">Yemen</option><option value="Zambia">Zambia</option><option value="Zimbabwe">Zimbabwe</option><option value="--------------"></option></select></p></div></div></div><div id="formElement10" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field10" class="label-position top ">Comments</label><textarea id="field10" name="paragraphText" class="field-size-top-large"></textarea></p></div></div></div><div id="formElement11" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="section-break"><h3 class="heading">Please opt-in to receive news and information about Nasdaq’s services.</h3><label class="instructions default other">If you do not opt-in you will not receive any emails from Nasdaq.</label></div></div><div id="formElement12" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><span class="checkbox-span field-size-top-large"><span class="list-order oneColumn"><input name="singleCheckbox" type="checkbox" value="on"/><label class="checkbox-label">Yes! I would like to receive Nasdaq communications related to Products, Industry News and Events.</label></span></span><label class="instructions default other">You can always change your preferences or unsubscribe and your contact information is covered by our Privacy Policy.</label></p></div></div></div><div id="formElement13" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field13" type="hidden" name="productFamily" value="MTBS"/></p></div></div></div><div id="formElement14" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field14" type="hidden" name="hiddenField" value="Buyside Compliance"/></p></div></div></div><div id="formElement15" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field15" type="hidden" name="SFDCCampaignid" value="7011R000001AfuAQAS"/></p></div></div></div><div id="formElement16" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field16" type="hidden" name="sourcemostrecent" value=""/></p></div></div></div><div id="formElement17" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field17" type="hidden" name="channelmostrecent" value=""/></p></div></div></div><div id="formElement18" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field18" type="hidden" name="offermostrecent" value="ContactUs"/></p></div></div></div><div id="formElement19" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field19" class="label-position top ">elq_hp<span class="required">*</span></label><input id="field19" name="elq_hp" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement20" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field20" type="hidden" name="ppc-campaignid" value=""/></p></div></div></div><div id="formElement21" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field21" type="hidden" name="gclid" value=""/></p></div></div></div><div id="formElement22" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input type="submit" value="Submit" class="submit-button" style="font-size: 100%; height: 24px; width: 100px"/></p></div></div></div></form><style type="text/css" media="screen"> <![CDATA[/* ><!]]>*/ </style><script id="formScript" type="text/javascript"> <![CDATA[// ><!]]> </script><span id="scriptContainer1728" style="display:none">var dom2 = document.querySelector('#form1728 #field2');var field2 = new LiveValidation(dom2, {validMessage: "", onlyOnBlur: false, wait: 300});field2.add(Validate.Presence, {failureMessage:"This field is required"});var dom3 = document.querySelector('#form1728 #field3');var field3 = new LiveValidation(dom3, {validMessage: "", onlyOnBlur: false, wait: 300});field3.add(Validate.Presence, {failureMessage:"This field is required"});var dom4 = document.querySelector('#form1728 #field4');var field4 = new LiveValidation(dom4, {validMessage: "", onlyOnBlur: false, wait: 300});field4.add(Validate.Custom, {against: function(value) {return !value.match(/(telnet|ftp|https?):\/\/(?:[a-z0-9][a-z0-9-]{0,61}[a-z0-9]\.|[a-z0-9]\.)+[a-z]{2,63}/i);}, failureMessage: "Value must not contain any URL's"});field4.add(Validate.Custom, {against: function(value) {return !value.match(/(<([^>]+)>)/ig);}, failureMessage: "Value must not contain any HTML"});field4.add(Validate.Length, {tooShortMessage:"Invalid length for field value", tooLongMessage: "Invalid length for field value", minimum: 0, maximum: 35});field4.add(Validate.Presence, {failureMessage:"This field is required"});var dom5 = document.querySelector('#form1728 #field5');var field5 = new LiveValidation(dom5, {validMessage: "", onlyOnBlur: false, wait: 300});field5.add(Validate.Presence, {failureMessage:"This field is required"});var dom6 = document.querySelector('#form1728 #field6');var field6 = new LiveValidation(dom6, {validMessage: "", onlyOnBlur: false, wait: 300});field6.add(Validate.Presence, {failureMessage:"This field is required"});var dom7 = document.querySelector('#form1728 #field7');var field7 = new LiveValidation(dom7, {validMessage: "", onlyOnBlur: false, wait: 300});field7.add(Validate.Presence, {failureMessage:"This field is required"});field7.add(Validate.Format, {pattern: /^([^@\s]+)@((?:[-a-z0-9]+\.)+[a-z]{2,})$/i, failureMessage: "A valid email address is required"});var dom8 = document.querySelector('#form1728 #field8');var field8 = new LiveValidation(dom8, {validMessage: "", onlyOnBlur: false, wait: 300});field8.add(Validate.Presence, {failureMessage:"This field is required"});var dom9 = document.querySelector('#form1728 #field9');var field9 = new LiveValidation(dom9, {validMessage: "", onlyOnBlur: false, wait: 300});field9.add(Validate.Presence, {failureMessage:"This field is required"});var dom10 = document.querySelector('#form1728 #field10');var field10 = new LiveValidation(dom10, {validMessage: "", onlyOnBlur: false, wait: 300});field10.add(Validate.Custom, {against: function(value) {return !value.match(/(telnet|ftp|https?):\/\/(?:[a-z0-9][a-z0-9-]{0,61}[a-z0-9]\.|[a-z0-9]\.)+[a-z]{2,63}/i);}, failureMessage: "Value must not contain any URL's"});field10.add(Validate.Custom, {against: function(value) {return !value.match(/(<([^>]+)>)/ig);}, failureMessage: "Value must not contain any HTML"});var dom19 = document.querySelector('#form1728 #field19');var field19 = new LiveValidation(dom19, {validMessage: "", onlyOnBlur: false, wait: 300});field19.add(Validate.Custom, {against: function(value) {return !value.match(/(telnet|ftp|https?):\/\/(?:[a-z0-9][a-z0-9-]{0,61}[a-z0-9]\.|[a-z0-9]\.)+[a-z]{2,63}/i);}, failureMessage: "Value must not contain any URL's"});field19.add(Validate.Presence, {failureMessage:"This field is required"});field19.add(Validate.Length, {tooShortMessage:"Invalid length for field value", tooLongMessage: "Invalid length for field value", minimum: 4, maximum: 4});function handleFormSubmit(ele) { var submitButton = ele.querySelector('input[type=submit]'); var spinner = document.createElement('span'); spinner.setAttribute('class', 'loader'); submitButton.setAttribute('disabled', true); submitButton.style.cursor = 'wait'; submitButton.parentNode.appendChild(spinner); return true; }function resetSubmitButton(e){ var submitButtons = e.target.form.getElementsByClassName('submit-button'); for(var i=0;i<submitButtons.length;i++){ submitButtons[i].disabled = false; } }function addChangeHandler(elements){ for(var i=0; i<elements.length; i++){ elements[i].addEventListener('change', resetSubmitButton); } }var form = document.getElementById('form1728'); addChangeHandler(form.getElementsByTagName('input')); addChangeHandler(form.getElementsByTagName('select')); addChangeHandler(form.getElementsByTagName('textarea'));var nodes = document.querySelectorAll('#form1728 input[data-subscription]'); if (nodes) { for (var i = 0, len = nodes.length; i < len; i++) {var status = nodes[i].dataset ? nodes[i].dataset.subscription : nodes[i].getAttribute('data-subscription'); if(status ==='true') {nodes[i].checked = true;}}};var nodes = document.querySelectorAll('#form1728 select[data-value]'); if (nodes) { for (var i = 0; i < nodes.length; i++) { var node = nodes[i]; var selectedValue = node.dataset ? node.dataset.value : node.getAttribute('data-value'); if (selectedValue) { for (var j = 0; j < node.options.length; j++) { if(node.options[j].value === selectedValue) { node.options[j].selected = 'selected';break;}}}}}</span></div> </div> </div> </div> </section></div> </aside></div> <section class="key-benefits key-benefits-"><div class="key-benefits__container"> <h2 class="key-benefits__title">Why do you need an automated surveillance & compliance solution?</h2> <div class="key-benefits__grid"> <div class="key-benefits__item"> <div class="key-benefits__item-heading"> <h2 class="module-header"> Compliance with Regulatory guidelines </h2> </div> <p class="key-benefits__item-description">Regulatory bodies have increased scrutiny on buy-side firms including costly fines and use of hi-tech data analytics engine. Have confidence that all regulatory requirements are being met, including MiFID II, MAR, SMR, and SEC mandates with surveillance technology to analyze data and improve regulatory management. </p> </div> <div class="key-benefits__item"> <div class="key-benefits__item-heading"> <h2 class="module-header"> Increase Operational Efficiencies </h2> </div> <p class="key-benefits__item-description">Significant false positive reduction enables compliance teams to immediately flag and prioritize which alerts pose the most risk and investigate accordingly, saving time, and improving resource allocation.<br/></p> </div> <div class="key-benefits__item"> <div class="key-benefits__item-heading"> <h2 class="module-header"> Investor Confidence </h2> </div> <p class="key-benefits__item-description">Provide transparency to differentiate, win, and retain clients, whilst lowering operational costs and provide value-add to the investors, instilling greater confidence. <br/></p> </div> </div> </div> </section><div data-paragraph-id="14321" class="js-ajax-lazy-load lazy-load-paragraph"></div> <div data-paragraph-id="8387781" class="js-ajax-lazy-load lazy-load-paragraph"></div> <section class="form contact-form form--white" aria-label="Contact Form" tabindex="0"><div class="contact-form__bg contact-form__bg--gradient-2" aria-hidden="true"> <picture class="picture"><source media="all and (min-width: 1200px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/1600x500/public/2019-05/AdobeStock_207392649_0.jpeg?h=1bec9f80&itok=Lr5feNYB 1x"></source><source media="all and (min-width: 768px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/1200x500/public/2019-05/AdobeStock_207392649_0.jpeg?h=1bec9f80&itok=oMVSAKgi 1x"></source><source type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/768x500/public/2019-05/AdobeStock_207392649_0.jpeg?h=1bec9f80&itok=Wrzog3Ml 1x"></source><img class="media__image media__element b-lazy b-responsive" data-src="/sites/acquia.prod/files/styles/1200x500/public/2019-05/AdobeStock_207392649_0.jpeg?h=1bec9f80&itok=oMVSAKgi" src="data:image/gif;base64,R0lGODlhAQABAIAAAAAAAP///yH5BAEAAAAALAAAAAABAAEAAAIBRAA7" alt="Balloons, multi-colored" typeof="foaf:Image"/></picture></div> <div class="contact-form__grid"> <header class="contact-form__header"><span class="contact-form__logo"> <img src="/web/20201031082728im_/https://www.nasdaq.com/themes/nsdq/dist/assets/images/logo-white.svg"/></span> <h2 class="contact-form__title">Have a question? Contact our team!</h2> </header><div class="contact-form__form-container" data-form-id="1728"> <div class="eloqua-form"> <div><form method="post" name="MTBSWebMQLContactUs" action="https://web.archive.org/web/20201031082728/https://s1981692173.t.eloqua.com/e/f2" onsubmit="return handleFormSubmit(this)" id="form1728" class="elq-form"><input value="MTBSWebMQLContactUs" type="hidden" name="elqFormName"/><input value="1981692173" type="hidden" name="elqSiteId"/><input name="elqCampaignId" type="hidden"/><div id="formElement0" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field0" type="hidden" name="hiddenField3" value="1728"/></p></div></div></div><div id="formElement1" class="sc-view form-design-field sc-static-layout sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><input id="field1" type="hidden" name="hiddenField2" value="MTBS MQL Contact Us"/></p></div></div></div><div id="formElement2" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field2" class="label-position top ">First Name<span class="required">*</span></label><input id="field2" name="firstName" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement3" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field3" class="label-position top ">Last Name<span class="required">*</span></label><input id="field3" name="lastName" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement4" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field4" class="label-position top ">Job Title<span class="required">*</span></label><input id="field4" name="job-title" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement5" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field5" class="label-position top ">Department<span class="required">*</span></label><select id="field5" name="jobRole1" class="field-size-top-large"><option value="" selected="selected">Please Select</option><option value="Clearing">Clearing</option><option value="Clearing Risk">Clearing Risk</option><option value="Compliance">Compliance</option><option value="Compliance IT">Compliance IT</option><option value="Consultant">Consultant</option><option value="CSD/Settlement">CSD/Settlement</option><option value="Index">Index</option><option value="Information Security">Information Security</option><option value="Legal">Legal</option><option value="Operations">Operations</option><option value="Regulator">Regulator</option><option value="Risk">Risk</option><option value="Surveillance">Surveillance</option><option value="Technology">Technology</option><option value="Trade Risk">Trade Risk</option><option value="Trading ">Trading </option><option value="Media">Media</option><option value="Other">Other</option></select></p></div></div></div><div id="formElement6" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field6" class="label-position top ">Company<span class="required">*</span></label><input id="field6" name="company" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement7" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field7" class="label-position top ">Email Address<span class="required">*</span></label><input id="field7" name="emailAddress" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement8" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field8" class="label-position top ">Business Phone<span class="required">*</span></label><input id="field8" name="busPhone" type="text" value="" class="field-size-top-large"/></p></div></div></div><div id="formElement9" class="sc-view form-design-field sc-static-layout item-padding sc-regular-size"><div class="field-wrapper"></div><div class="individual field-wrapper"><div class="_100 field-style"><p class="field-p"><label for="field9" class="label-position top ">Country<span class="required">*</span></label><select id="field9" name="country" data-value="" class="field-size-top-large"><option value="">Please select…</option><option value="United States">United States</option><option value="Afghanistan">Afghanistan</option><option value="Åland Islands">Åland Islands</option><option value="Albania">Albania</option><option value="Algeria">Algeria</option><option value="American Samoa">American Samoa</option><option value="Andorra">Andorra</option><option value="Angola">Angola</option><option value="Anguilla">Anguilla</option><option value="Antarctica">Antarctica</option><option value="Antigua and Barbuda">Antigua and Barbuda</option><option value="Argentina">Argentina</option><option value="Armenia">Armenia</option><option value="Aruba">Aruba</option><option value="Australia">Australia</option><option value="Austria">Austria</option><option value="Azerbaijan">Azerbaijan</option><option value="Bahamas">Bahamas</option><option value="Bahrain">Bahrain</option><option value="Bangladesh">Bangladesh</option><option value="Barbados">Barbados</option><option value="Belarus">Belarus</option><option value="Belgium">Belgium</option><option value="Belize">Belize</option><option value="Benin">Benin</option><option value="Bermuda">Bermuda</option><option value="Bhutan">Bhutan</option><option value="Bolivia, Plurinational State of">Bolivia, Plurinational State of</option><option value="Bonaire, Sint Eustatius and Saba">Bonaire, Sint Eustatius and Saba</option><option value="Bosnia and Herzegovina">Bosnia and Herzegovina</option><option value="Botswana">Botswana</option><option value="Bouvet Island">Bouvet Island</option><option value="Brazil">Brazil</option><option value="British Indian Ocean Territory">British Indian Ocean Territory</option><option value="Brunei Darussalam">Brunei Darussalam</option><option value="Bulgaria">Bulgaria</option><option value="Burkina Faso">Burkina Faso</option><option value="Burundi">Burundi</option><option value="Cambodia">Cambodia</option><option value="Cameroon">Cameroon</option><option value="Canada">Canada</option><option value="Cape Verde">Cape Verde</option><option value="Cayman Islands">Cayman Islands</option><option value="Central African Republic">Central African Republic</option><option value="Chad">Chad</option><option value="Chile">Chile</option><option value="China">China</option><option value="Christmas Island">Christmas Island</option><option value="Cocos (Keeling) Islands">Cocos (Keeling) Islands</option><option value="Colombia">Colombia</option><option value="Comoros">Comoros</option><option value="Congo">Congo</option><option 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</div> </section><section class="newsroom"><div class="newsroom__container"> <h2 class="module-header"> Nasdaq Buy-side Compliance </h2> <div class="newsroom__contents"> <div class="newsroom__section newsroom__section--news"> <div class="newsroom__section-heading"> <h3 class="newsroom__section-title">Recent Insights</h3> </div> <div class="newsroom__section-content"> <a class="newsroom__card" href="/web/20201031082728/https://www.nasdaq.com/articles/2019-top-compliance-trends-for-the-buy-side-2019-01-30-0 "> <div class="newsroom__card-image"> <picture class="picture"><source media="all and (min-width: 1200px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/375x211/public/image/40815d76266a626e2276006e43d3f1e3cacd923f_marijuana-stocks-best-top_large.jpg?itok=LHAkhY_a 1x"></source><source media="all and (min-width: 768px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/525x295/public/image/40815d76266a626e2276006e43d3f1e3cacd923f_marijuana-stocks-best-top_large.jpg?itok=Z3E4jXfD 1x"></source><source type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/325x183/public/image/40815d76266a626e2276006e43d3f1e3cacd923f_marijuana-stocks-best-top_large.jpg?itok=ZhV4ALka 1x"></source><img class="media__image media__element b-lazy b-responsive" data-src="/sites/acquia.prod/files/styles/325x183/public/image/40815d76266a626e2276006e43d3f1e3cacd923f_marijuana-stocks-best-top_large.jpg?itok=ZhV4ALka" src="data:image/gif;base64,R0lGODlhAQABAIAAAAAAAP///yH5BAEAAAAALAAAAAABAAEAAAIBRAA7" alt="Trophy in the dark with blue abstract background." title="Trophy in the dark with blue abstract background." typeof="foaf:Image"/></picture></div> <div class="newsroom__card-content"> <div class="newsroom__card-text"> <h4 class="newsroom__card-title">2019 Top Compliance Trends for the Buy-Side </h4> <div class="newsroom__card-meta">Jan 30, 2019 </div> </div> </div> </a> <a class="newsroom__card" href="/web/20201031082728/https://www.nasdaq.com/articles/conflicts-interest-side-side-management-explained-2018-04-25 "> <div class="newsroom__card-image"> <picture class="picture"><source media="all and (min-width: 1200px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/375x211/public/2019-03/AdobeStock_3166680.jpeg?h=cd5368bf&itok=VAyfMyOZ 1x"></source><source media="all and (min-width: 768px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/525x295/public/2019-03/AdobeStock_3166680.jpeg?h=cd5368bf&itok=vj7-sw9o 1x"></source><source type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/325x183/public/2019-03/AdobeStock_3166680.jpeg?h=cd5368bf&itok=79NvrCA8 1x"></source><img class="media__image media__element b-lazy b-responsive" data-src="/sites/acquia.prod/files/styles/325x183/public/2019-03/AdobeStock_3166680.jpeg?h=cd5368bf&itok=79NvrCA8" src="data:image/gif;base64,R0lGODlhAQABAIAAAAAAAP///yH5BAEAAAAALAAAAAABAAEAAAIBRAA7" alt="Fruit and vegetable stand" typeof="foaf:Image"/></picture></div> <div class="newsroom__card-content"> <div class="newsroom__card-text"> <h4 class="newsroom__card-title">Conflicts of Interest: Side by Side Management Explained </h4> <div class="newsroom__card-meta">Apr 25, 2018 </div> </div> </div> </a> </div> </div> <div class="newsroom__section newsroom__section--press"> <div class="newsroom__section-heading"> <h3 class="newsroom__section-title">Press</h3> </div> <div class="newsroom__section-content"> </div> <a class="arrow-cta" 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class="resource-center__overlay__description">Find out how to detect and prevent front-running, including a full list of surveillance recommendatoins.</p> </div> <div class="resource-center__overlay__container__right contact-form form form--blue" data-form-id="1595"> <div class="loader-overlay"> <div class="svg-loader" style="width: 140px;"> <div class="svg-loader__container"> <svg version="1.1" xmlns="http://www.w3.org/2000/svg" xmlns:xlink="http://www.w3.org/1999/xlink" x="0px" y="0px" viewbox="0 0 70 60" xml:space="preserve"><style type="text/css"> <![CDATA[/* ><!]]>*/ </style><defs><lineargradient id="mask-gradient-1625873929" gradientunits="userSpaceOnUse" x2="0" y2="100%"><stop offset="10%" stop-color="white" stop-opacity="0"></stop><stop offset="20%" stop-color="white" stop-opacity="1"></stop><stop offset="100%" stop-color="white" stop-opacity="1"></stop><stop offset="110%" stop-color="white" stop-opacity="0"></stop></lineargradient><lineargradient id="mask-gradient-572153913" 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class="resource-center__whitepapers__paper-title">MiFID II Checklist for the Buy-side</span> <button aria-label="Click to open MiFID II Checklist for the Buy-side" class="resource-center__whitepapers__cta resource-center__whitepapers__cta--overlay"><span class="visually-hidden">Click to </span>Open <span class="visually-hidden">MiFID II Checklist for the Buy-side</span></button> <div class="resource-center__overlay"> <div class="resource-center__overlay__container"> <button class="resource-center__overlay__close" aria-label="close">X</button> <div class="resource-center__overlay__container__left"> <h2 class="module-header"> Whitepaper </h2> <h3 class="resource-center__overlay__title">MiFID II Checklist for the Buy-side</h3> <p class="resource-center__overlay__description">Ensure your firm is up-to-date with all requirements pertaining to MiFID II</p> </div> <div class="resource-center__overlay__container__right contact-form form form--blue" data-form-id="1596"> <div 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class="st0" mask="url(#mask-897272012)" d="M33.6,44c-1.2,0-2.1-0.7-2.6-1.7l-3.3-9.2l5.7-15.7c0.1-0.3,0.3-0.6,0.4-0.7c0.5-0.7,1.3-1.2,2.3-1.2 c1.2,0,2.2,0.7,2.6,1.7l3.3,9.1l-5.7,15.7c-0.1,0.4-0.3,0.6-0.4,0.7C35.4,43.5,34.6,44,33.6,44z"></path><path class="st0" mask="url(#mask-26177180)" d="M35,44.6L35,44.6c1.2-0.1,2.1-0.9,2.5-2L53,0h16.7L54.1,42.7c-0.4,1.1-1.5,2-2.8,2H35"></path></svg></div> </div> <div class="error-state">Data is currently not available</div> </div> <div class="contact-form__form-container eloqua-form"></div> </div> </div> </div> </div> </li> <li class="resource-center__whitepapers__list-item "> <div class="resource-center__whitepapers__content"> <span class="resource-center__whitepapers__paper-title">Selecting a Surveillance & Compliance Solution: Buyer's Guide for the Buy-side</span> <button aria-label="Click to open Selecting a Surveillance & Compliance Solution: Buyer's Guide for the Buy-side" class="resource-center__whitepapers__cta 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Let us help you select the correct surveillance and compliance solution for your firm.</p> </div> <div class="resource-center__overlay__container__right contact-form form form--blue" data-form-id="1593"> <div class="loader-overlay"> <div class="svg-loader" style="width: 140px;"> <div class="svg-loader__container"> <svg version="1.1" xmlns="http://www.w3.org/2000/svg" xmlns:xlink="http://www.w3.org/1999/xlink" x="0px" y="0px" viewbox="0 0 70 60" xml:space="preserve"><style type="text/css"> <![CDATA[/* ><!]]>*/ </style><defs><lineargradient id="mask-gradient-908707599" gradientunits="userSpaceOnUse" x2="0" y2="100%"><stop offset="10%" stop-color="white" stop-opacity="0"></stop><stop offset="20%" stop-color="white" stop-opacity="1"></stop><stop offset="100%" stop-color="white" stop-opacity="1"></stop><stop offset="110%" stop-color="white" stop-opacity="0"></stop></lineargradient><lineargradient id="mask-gradient-412244563" gradientunits="userSpaceOnUse" x2="0" y2="100%"><stop offset="20%" 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Compliance Solutions </h2> </span> </div> <div class="solutions-bundle__content"> <div class="solutions-bundle__bg solutions-bundle__bg--gradient-3" aria-hidden="true"> <picture class="picture"><source media="all and (min-width: 1200px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/1260x354/public/2019-05/AdobeStock_145471371.jpeg?h=059641bd&itok=qLBWTQmv 1x"></source><source media="all and (min-width: 768px)" type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/1468x1008/public/2019-05/AdobeStock_145471371.jpeg?itok=VYe7v-ST 1x"></source><source type="image/jpeg" data-srcset="/web/20201031082728im_/https://www.nasdaq.com/sites/acquia.prod/files/styles/750x944/public/2019-05/AdobeStock_145471371.jpeg?itok=IaZ4UB8H 1x"></source><img class="media__image media__element b-lazy b-responsive" data-src="/sites/acquia.prod/files/styles/750x944/public/2019-05/AdobeStock_145471371.jpeg?itok=IaZ4UB8H" src="data:image/gif;base64,R0lGODlhAQABAIAAAAAAAP///yH5BAEAAAAALAAAAAABAAEAAAIBRAA7" alt="A group of people running a race outdoors" typeof="foaf:Image"/></picture></div> <ul class="solutions-bundle__list"><li class="solutions-bundle__item"> <div class="solutions-bundle__item-text"> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-fair-investor-allocation-reporting" class="solutions-bundle__item-eyebrow">For the Buy-side</a> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-fair-investor-allocation-reporting" class="solutions-bundle__item-title"> <h3 class="solutions-bundle__item-link"> Nasdaq Fair Investor Allocation Reporting <span class="solutions-bundle__item-arrow" aria-hidden="true"></span> </h3> </a> </div> <div class="solutions-bundle__item-text-wrap"> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-fair-investor-allocation-reporting" class="solutions-bundle__item-description">Nasdaq Fair Investor Allocation Reporting performs side by side management analysis and allocates assets fairly equally</a> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-fair-investor-allocation-reporting" class="solutions-bundle__item-feature-wrap"> <span class="solutions-bundle__item-feature-title">Key Features</span> <ul class="solutions-bundle__item-features"><li class="solutions-bundle__item-feature"> <span class="solutions-bundle__item-feature-check" aria-hidden="true"></span> <span class="solutions-bundle__item-feature-text">Compliance with Regulatory Requirements</span> </li> <li class="solutions-bundle__item-feature"> <span class="solutions-bundle__item-feature-check" aria-hidden="true"></span> <span class="solutions-bundle__item-feature-text">Transparency into asset allocation</span> </li> <li class="solutions-bundle__item-feature"> <span class="solutions-bundle__item-feature-check" aria-hidden="true"></span> <span class="solutions-bundle__item-feature-text">Investor Confidence</span> </li> </ul></a> </div> </li> <li class="solutions-bundle__item"> <div class="solutions-bundle__item-text"> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-trade-surveillance" class="solutions-bundle__item-eyebrow">For the Sell-side</a> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-trade-surveillance" class="solutions-bundle__item-title"> <h3 class="solutions-bundle__item-link"> Nasdaq (SMARTS) Trade Surveillance <span class="solutions-bundle__item-arrow" aria-hidden="true"></span> </h3> </a> </div> <div class="solutions-bundle__item-text-wrap"> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-trade-surveillance" class="solutions-bundle__item-description">Effective cross-market, cross-asset, multi-venue surveillance technology to simplify the monitoring process</a> <a href="/web/20201031082728/https://www.nasdaq.com/solutions/nasdaq-trade-surveillance" class="solutions-bundle__item-feature-wrap"> <span class="solutions-bundle__item-feature-title">Key Features</span> <ul class="solutions-bundle__item-features"><li class="solutions-bundle__item-feature"> <span class="solutions-bundle__item-feature-check" aria-hidden="true"></span> <span class="solutions-bundle__item-feature-text">Gain Transparency & Comply with Market Regulations</span> </li> <li class="solutions-bundle__item-feature"> <span class="solutions-bundle__item-feature-check" aria-hidden="true"></span> <span class="solutions-bundle__item-feature-text">Reduce Operational Cost & Complexity </span> </li> <li class="solutions-bundle__item-feature"> <span class="solutions-bundle__item-feature-check" aria-hidden="true"></span> <span class="solutions-bundle__item-feature-text">Future-Proof your Surveillance Program</span> </li> </ul></a> </div> </li> </ul></div> </section><section class="solutions-graphic"><div class="solutions-graphic__container"> <div class="solutions-graphic__header"> <span>Envision a Future – Fueled by Innovation, Technology and Expertise.</span> </div> <div class="solutions-graphic__subheader">Now, let’s get there. Select below.</div> <div class="solutions-graphic__content"> <button class="solutions-graphic__item" data-modal-id="solution-graphic-modal" data-tid="1826" data-category="gain-market-intelligence" aria-label="Click to learn more about Gain Market Intelligence"> <div class="solutions-graphic__name"> <span>Gain Market Intelligence</span> </div> </button> <button class="solutions-graphic__item" data-modal-id="solution-graphic-modal" data-tid="1831" data-category="raise-access-capital" aria-label="Click to learn more about Raise & Access Capital"> <div class="solutions-graphic__name"> <span>Raise & Access Capital</span> </div> </button> <button class="solutions-graphic__item" data-modal-id="solution-graphic-modal" data-tid="1836" data-category="trade-global-markets" aria-label="Click to learn more about Trade Global Markets"> <div class="solutions-graphic__name"> <span>Trade Global Markets</span> </div> </button> <button class="solutions-graphic__item" 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