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Location Office

Kungsgatan 36
Stockholm
SE

NASDAQ OMX New York Head Office

One Liberty Plaza
New York
NY
US

NASDAQ OMX Stockholm Office

Tullvaktsvägen 15
Stockholm
SE

NASDAQ OMX Rockville Office

805 King Farm Boulevard 1st and 2nd floor
Rockville
MD
US

NASDAQ OMX London Office

Woolgate Exchange, 25 Basinghall Street, City of London
London
GB

NASDAQ OMX New York Office

Marketsite 4 Times Square
New York
NY
US

NASDAQ OMX Hong Kong Office

Room 1207-8, 12/F Man Yee Building 68 Des Voeux Road Central Hong Kong
Hong Kong
HK

NASDAQ OMX Singapore Office

20 Collyer Quay, #17-01
Singapore
SG

NASDAQ OMX Chicago Office

One North Wacker Drive Suite 3600
Chicago
IL
US

NASDAQ OMX Belgium Office

Avenue de Cortenbergh 116
Brussels
BE

NASDAQ OMX Dubai Office

Dubai World Trade Centre Sheikh Zayed Road
Dubai
AE

NASDAQ OMX Tokyo Office

1F, Kojimachi Square Building Nibancho, 3 Chiyoda-ku, Tokyo
Tokyo
JP

NASDAQ OMX Boston Office

100 Franklin St
Boston
MA
US

Location Office

Level 17-19, 110 Bishopsgate
London
GB

Telephone

212 231 5018

Contact

Todd A Swearingen
[email protected]

SURVEILLANCE & COMPLIANCE: SMARTS Broker & SMARTS Integrity

Proven in the world’s fastest and largest markets, SMARTS market surveillance and compliance solutions from NASDAQ OMX are the industry benchmark for the global exchange, regulator and broker community. Installed in more than 35 national exchanges and regulators and 65 brokers across 60 countries, SMARTS is the world’s leading provider of surveillance and compliance technology.

In today’s era of global trading across multiple asset classes, it is essential that broker-dealer compliance officers maintain a single consolidated view of trading across all venues. Similarly, regulatory oversight at the exchange and regulator level also requires consolidation of trading data from multiple trading venues. SMARTS’ groundbreaking cross-market surveillance technology is used by a large number of brokers, regulators and exchanges worldwide to carry out real-time cross-venue surveillance. In demanding, high volume markets SMARTS technology typically processes billions of messages per day.

SMARTS provides the only market surveillance platform which has a seamless transfer between single market and multi-market analysis required for market surveillance functions in cross-market/cross-asset class scenarios. This approach ensures truly integrated market supervision and market surveillance.

Unparalleled Expertise

SMARTS solutions are backed by a team of unrivalled financial and technology professionals who have in-depth understanding and insight into market surveillance, supervision and compliance and understand the complex issues associated with maintaining market integrity. The NASDAQ OMX team is comprised of true industry practitioners who have in-depth and practical knowledge of surveillance and monitoring at the exchange, regulator and broker level.

For Brokers

SMARTS Broker is a managed service designed for brokers, FCM’s and other market participants to assist them in complying with market rules, regulations and internal market surveillance policies. Delivered via a browser based application, SMARTS Broker is fast to implement, requires no on-site installation or maintenance, and comes with little or no hardware costs.

The system empowers brokers to:

  • Easily comply with market regulations and internal risk policies.
  • Conduct their own internal surveillance, separately to any external monitoring by the exchange or regulator.
  • Rapidly detect infringements well before regulators.
  • Access full historical trading data (including trade-by-trade and quote-by-quote market visualizations) for all listed instruments.

For Exchanges and Regulators

 

SMARTS Integrity is the international financial community’s preferred provider of real-time and t+1 systems for market surveillance, market supervision and market compliance.

SMARTS Integrity is a vital market supervision & control tool, helping to maintain an orderly market by providing a consolidated, highly visual view of real-time market activity supported by sophisticated alerting tools. SMARTS Integrity has proven itself to be the lifeblood for surveillance professionals that need to maintain a fair market. By correlating real-time and historical data with detection patterns, SMARTS ensures early detection of unusual trading patterns that could be potential breaches of exchange or regulator trading rules and practices.

The rich functionality of SMARTS Integrity provides exchanges and regulators with the real-time monitoring tools necessary to continually detect and analyze potential market abuse, as well as provide post-trade insight and analysis of trading activity.

 

 

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