Market Surveillance


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Market Surveillance

On NASDAQ, a department that investigates and reports any suspected illegal behavior. Market Surveillance is an important department in maintaining a free, fair, and transparent market. Because NASDAQ is an electronic exchange, Market Surveillance conducts most of its investigations on computers.
References in periodicals archive ?
David Cooper, head of Compliance, Cenkos Securities, noted, "In order to meet ever-increasing regulatory and compliance obligations, we undertook a rigorous review of market surveillance firms before selecting and deploying Ancoa's platform.
Celent's report highlighted four key product differentiators within NICE Actimize's market surveillance and compliance solutions portfolio.
The OneTick Market Surveillance Service delivers an integrated, real-time examination of Order Flow for Regulated Entities supporting end-to-end breach detection, alert workflow management and historical replay activities.
Better coordination of safety checks by the creation of a more cooperative system of market surveillance to eliminate unfair competition from dishonest or rogue traders.
The implementation of the Capizar Market Surveillance will ensure that trading remains the foremost priority and that it is conducted in a transparent manner', commented CEO, Infotech.
The Apama Market Surveillance and Monitoring solution offers an integrated, real-time view of external and internal events and processes, supporting the end-to-end surveillance, monitoring and risk management activities required by ESMA, Dodd-Frank, the Securities and Exchange Board of India (SEBI) and other global regulatory bodies and initiatives.
The agencies have set up a working group on market surveillance, with the Federal Reserve Bank of New York accepting primary responsibility for collecting and disseminating information.
It falls on the brokers as the primary intermediary between investors and exchanges to assist regulators in making sure that market surveillance catches up to the real-time dynamics of the market.
Tenders are invited for Joint enforcement actions under the multi-annual action plan for market surveillance of products in the EU.
The near-real-time services, delivered exclusively through Quantum5's Market Surveillance Engine, generate price exception and missed fill alerts for domestic equities, pink sheets, OTC bulletin board stocks, as well as exchange listed options.
In addition, the competitive force of broader participation will be reinforced by proposals targeted at manipulative abuse: tighter enforcement of auction rules and enhanced market surveillance by the Federal Reserve Bank of New York to identify potential manipulative episodes that could trigger SEC investigation and Treasury supply management to reopen offerings.
Progress Software Corporation (NASDAQ: PRGS), a global provider of application infrastructure software used to develop, deploy, integrate and manage business applications, today announced the latest release of its popular Progress[R] Apama[R] Market Surveillance and Monitoring Accelerator.