Written by Chartis in collaboration with Nasdaq, this paper considers the importance of trade surveillance for financial institutions and examines the key considerations for firms when implementing an effective solution.
Regulation of cryptocurrency varies globally by region, jurisdiction, and regulatory body. Nasdaq’s comprehensive and updated 2023 Cryptocurrency Regulation Guide identifies all the major policies around the world that govern the regulation of crypto assets.
Conducted annually for nearly a decade, the Global Compliance Survey gathers feedback from compliance professionals at organizations that sit within the capital markets ecosystem. Access all the data and insights and learn what matters most to compliance professionals around the world.
In collaboration with Chartis Research, Nasdaq surveyed 94 compliance professionals to determine their top challenges in the year ahead, the role of emerging technologies, the power of data scientists and technology staff, and the trends of regulatory-focused investments.
Based on lived experience in migrating three markets to the Cloud and on insights and observations gathered from delivering mission-critical market infrastructure solutions worldwide, Nasdaq has compiled a new viewpoint paper aimed at providing the 2024 Outlook for Cloud in Market Infrastructure.
Discover why financial market operators are increasingly during SaaS solutions. Learn about the benefits, including scalability, cost efficiency, and enhanced security, driving this industry shift.
Learn about the upcoming changes in EU and UK capital requirements for financial institutions. Understand the impact and prepare your organization for compliance.
Nasdaq and The ValueExchange partnered to understand why global investors are drawn to Latin America and how markets can lift blockers to capital flows.
Foreign investment into Latin America is poised to accelerate, but market structure issues must be solved to unlock flows. A new report from Nasdaq and The ValueExchange explores the opportunities (and expectations) for improving post-trade processes and standards.
In a panel at this year's ToF, senior executives from Bolsa Mexicana de Valores, JPX Group and Options Clearing Corporation discussed crucial factors of change management and shared their insights on the role of technology, culture and leadership.
As an area susceptible to climate change impacts, the Middle East and North Africa (MENA) region is an ideal staging ground for the growth and maturation of carbon markets.
Colombia is stepping up its commitment to financial stability with its own tailored approach to Basel III. In February 2024, the Superintendencia Financiera de Colombia (SFC) rolled out External Circular 003, a bold move to cap the potential losses banks could suffer from sudden counterparty failures, while safeguarding their solvency. By adopting this proactive risk management posture, financial and credit institutions across Colombia are positioned to significantly reduce contagion risks, creating a more resilient and stable financial system for the entire country.
Financial supervision globally is undergoing a profound digital transformation, and Colombia is leading the way in South America. The Colombian Financial Superintendent (Superintendencia Financiera de Colombia or SFC) has introduced a groundbreaking digital supervision initiative aimed at enhancing the oversight of financial institutions in the country.
Learn how Depósito Central de Valores (DCV) leverages Nasdaq technology to modernize and evolve Chile’s capital markets infrastructure for future growth.
In 2023, Nasdaq hosted Commissioner Caroline D. Pham from the U.S. Commodity Futures Trading Commission (CFTC) at the bi-annual Surveillance Conference in Tokyo, Japan. Read our paper to discover the top priorities of the CFTC and how to navigate the constantly evolving global markets.
Latin American capital markets are growing and Nasdaq Financial Technology is helping regional banks and brokers gain the operational agility needed to modernize and capitalize on new opportunities.
New
Descubra cómo Landesbank Baden-Württemberg (LBBW), un banco comercial y de servicios completo, y un banco central (Landesbank) para la banca de ahorro en toda Alemania, aprovechó la plataforma Nasdaq Calypso para acelerar su crecimiento.
Treasury organizations are paying close attention to elections across the world and the potential impact to funding, liquidity and risk management.
New
Descubra como la solución de Nasdaq AxiomSL ayuda a las empresas a resolver los desafíos relacionados con el SA-CCR de Basilea.
Learn about the FDIC new proposed recordkeeping rules could impact fintech partnerships and third-party relationships
Today’s securities operating model is being pulled in multiple directions at once. A new report from Nasdaq and ValueExchange details the challenges and opportunities facing financial market infrastructures (FMIs).
Ian Hawkins, head of Product Management at Nasdaq speaks to FinextraTV's Hannah Wallace about a recent prosecution by Dutch regulator, the AFM, and provides insights into the type of tradeable products that can be subject to this type of market abuse as well as some of the manipulative devices used.
Technology continues to pace the evolution of markets, but for financial market infrastructures (FMIs), cloud transformation can be challenging to assess using a traditional total-cost-of-ownership (TCO) framework. In a paper from Celent, a rethought TCO equation is argued for that captures the holistic costs of FMIs “standing still."
This article discusses new regulatory changes from the Federal Reserve Board (FRB) impacting Foreign Banking Organizations (FBOs) operating in the United States. These changes will affect how FBOs report their financial data, with deadlines approaching in the coming months.
New
Descubra como esta plataforma todo en uno ofrece control al alcance de la mano, en tiempo real, sobre la mesa de ventas y operaciones.
Explore the imminent implementation of the Fundamental Review of the Trading Book (FRTB) in European and American markets and its impact on financial institutions
Adenza’s Gil Guillaumey, Head of Strategy, Capital Market Solutions, recently spoke to FTF’s Eugene Grygo about how such challenging conditions can actually represent a huge opportunity for financial institutions, as they prepare their platforms for upcoming regulatory capital and T+1 settlement reforms.
Read how this G-SIB continues to leverage our solutions to comply with the latest Basel regulatory changes for the capital markets.
This article discusses the longtail effects of the GameStop meme-stock thread. The US securities and Exchange Commission (SEC) recognized the need for publicly available short sell-related data. This led to the issuing of Rule 13F-2, the first every short selling regulation.
New
Descubra los beneficios de un enfoque consolidado y a la vez flexible para el cálculo de márgenes, la gestión de garantías y Securities Finance.
Nasdaq's ninth annual Global Compliance Survey details the trends in compliance technology, investment, tools and hiring. This recap summary has all the topline takeaways for global compliance and risk professionals.
The shift towards granular data reporting (GDR) in Asia-Pacific represents a significant evolution in the regulatory landscape in the region, while also reflecting the global trend towards data-driven oversight and enhanced transparency.
New
Descubra cómo puede simplificar la implementación de aplicaciones, la integración, las actualizaciones, la supervisión y la conciliación en tiempo real.
The Securities and Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA) are aligning the Hong Kong regime with other jurisdictions efforts to standardize and harmonize over-the-counter (OTC) derivatives reporting to improve transparency, accuracy and timeliness.
The clearing landscape is evolving quickly. Read a summary of Nasdaq's new whitepaper diving into the trends and then download the full paper to understand the impacts to central counterparty clearing houses (CCPs) and their member firms.
Learn how Climate Impact X is utilizing Nasdaq technology to drive innovation in the voluntary carbon market. Explore the company's efforts to improve transparency, efficiency, and sustainability in carbon trading.
Banco Central do Brazil IFRS 9 ECL resolutions require complex calculations, reconciliation, and effective governance. Read the article to learn more.
New
Descubra cómo puede crear un espacio de trabajo coherente entre activos para tomar decisiones rápidas y altamente informadas y optimizar los perfiles de riesgo de negocio y/o los perfiles de riesgo de la cartera.
The market for ITMOs, a carbon credit-like mechanism, is growing and will need dependable technology and infrastructure to support scale as nations look to leverage international cooperation in meeting climate goals.
Learn how Nasdaq’s technology is powering trading, market surveillance, ETD and OTC clearing, risk- and collateral management at Japan Exchange Group (JPX).
As a Nasdaq Financial Technology customer, Kiatnakin Phatra Securities (KKPS) gains the capabilities, agility and scalability it needs to help its business and the local market thrive, while also modernizing through cloud-deployed solutions. Read this case study to take a closer look at the evolution of the relationship between KKPS and Nasdaq and how both are futureproofing for the long term.
This case study tells Landesbank Baden-Württemberg’s (LBBW) strategic capital-markets consolidation & innovation story, covering many milestones with Calypso across treasury, regulations (LIBOR transition, UMR), ETD and OTC clearing, cross-asset platform, back office, collateral, cloud transition, MR rebase, and a new carbon-emission business launch.
One of Thailand’s largest commercial banks, a top-tier private bank in India, and two regional banks in Korea have selected Adenza’s Calypso LIBOR solution to efficiently transition to the new global risk-free rates (RFR) benchmarked landscape.
To grow their FX businesses in a volatile environment driven by global challenges, banks must digitalize processes, end-to-end. Read here to learn how this growing regional bank is making that strategic transformation happen — utilizing the Nasdaq Calypso front-to-back FX solution, fully integrated Nasdaq CapCloud™, and Nasdaq Calypso e-FX Portal to the benefit of its traders, sales desks, and customers.
Position limit rules can be complicated and differ across venues and exchanges, so reliance on manual methods to source, access and manipulate data from various different venues is time-consuming and error-prone. Find out how you can get real-time visibility to inform risk management and decision-making with Nasdaq Risk Platform.
Unprecedented volume. Major disruptive events. New asset classes. The last few years have put a strain on market infrastructure operators. However, amid the challenges lies an opportunity to position for the future and improve operations via infrastructure modernization with cloud adoption as the foundation.
Read why the Mauritius Commercial Bank chose Nasdaq Calypso to drive strategic growth, scale operations with a comprehensive front-to-back capital markets solution and accelerate its cloud journey.
New
Descubra cómo uno de los diez bancos más importantes de Norteamérica transformó sus operaciones al trasladarse a la nube.
New
Descubra como una importante compañía de seguros y gestión de activos transformó su arquitectura de operaciones y procesamiento de derivados en la nube.
New
Descubra ocho razones por las que su plataforma de tesorería necesita un cambio.
As regulatory reforms and market structure changes transform collateral management needs globally, Nasdaq’s Clearing and Collateral solutions provide a strategic platform for CCPs to enhance services, realize collateral efficiencies, and capture business opportunities in the new collateral management paradigm.
Nasdaq’s Clearing Technology provides comprehensive multi-asset clearing, risk and settlement capabilities that unlock operational and cost efficiencies for CCPs, their members and clients. A cloud-native, scalable and resilient solution, it enables CCPs to innovate, launch new products with short time-to-market, and expand capacity with growing volumes.
Consistent with international standards and best practices, Nasdaq CSD Technology delivers a stable and high-performing core infrastructure for multi-asset depository, settlement and corporate actions with high throughput. In parallel, the agile solution enables CSDs to innovate and realize new business opportunities like expansion into digital assets, international custody and securities financing.
With over 50 years' experience of operating electronic exchanges, Nasdaq offers multi-asset trading technology purpose-built for efficient and robust matching across a broad spectrum of market models and needs.
Discover how Nasdaq earned top honors at the Regulation Asia Awards for Excellence 2024, winning 'Best Regulatory Reporting Solution' and 'Best Capital / Liquidity Management Solution.' Learn about the innovations driving Nasdaq’s award-winning solutions.
A new survey from Nasdaq found investors are eager to grow their volumes in Latin America, but market structure challenges need to be solved first to unlock capital flows.
Nasdaq Market Surveillance has nearly 30 years of experience as the industry benchmark for real-time and T+1, cross-market, cross-asset surveillance. Owning and operating 18 venues enables Nasdaq to provide customers with unique surveillance advisory and best meet each client’s distinct surveillance needs.
Learn more about Nasdaq’s technology custom built for carbon markets and registries.
Learn more about Nasdaq’s SaaS-deployed infrastructure for exchanges, marketplaces and registries.
Learn more about Nasdaq’s technology custom built for carbon markets and registries.
Gil Guillaumey, Head of Capital Markets Technology at Nasdaq, provides insights into the 2024 outlook for banks and brokers. He discusses the evolving landscape of regulations, market reforms, and infrastructure modernization initiatives that are impacting the financial industry.
Macro events driving focus on capacity planning, global impacts from the North America T+1 reform and refining modernization strategies to successfully mobilize change. In this Nasdaq Pulse, Magnus Haglind, Head of Marketplace Technology, discusses key strategic themes that will dominate FMIs’ agendas in 2024.
Offshore wind farms are important renewable energy sources, yet these giant infrastructures are subject to unique climate and cost risks. Read more about catastrophe modeling advances in this area from Nasdaq and Renew Risk.
Read the factsheet to learn how Nasdaq Trade Surveillance meets and helps overcome difficulties in data sorting, management, and trade alerts.
Volatility and high interest rates continue to impact energy and commodity markets. Add in new margin calculations and the operational complexity for traders and brokers rises. This blog is the first in a series examining market conditions and the value of granular, real-time risk insights
New
Descubra como CapCloud™ le permite administrar y hacer crecer su negocio sin las complejidades de montar y mantener su propia infraestructura tecnológica.
New
Descubra como RegCloud® le permite administrar los reportes regulatorios sin las complejidades de construir y mantener su propia infraestructura tecnológica.
As market infrastructures advance their cloud strategies and relationships with cloud service providers (CSPs), it’s vital they bring regulatory stakeholders in early and often. This report highlights the increasing adoption of cloud tech among FMIs, who are using it to foster innovation, improve efficiency, and enhance resilience in capital markets.
New
Descubra como ControllerView® permite administrar los reportes regulatorios sin las complejidades de construir y mantener su propia infraestructura tecnológica.
New
Descubra cómo la solución Nasdaq Calypso e-FX permite a los bancos crear las condiciones para mejorar el autoservicio y la lealtad del cliente, aumentar los flujos de ingresos y reducir los costos operativos.
Navigating the operational model shift that comes with technology transformation is no small feat. Nasdaq has compiled a guide to help firms navigate change based on our experience as a market operator.
New
Descubra funciones poderosas para un procesamiento post-operaciones más fluido.
Nanhua Financial announced the go-live of its Nasdaq Risk Platform technology, in addition to Nasdaq Trade Surveillance, to comply with regulatory requirements and efficiently manage their counterparty credit and market risks across major exchanges globally in real-time.
Discover why Thai broker KKPS chooses the Nasdaq Risk Platform to enhance their fintech operations. In this exclusive Q&A, learn about the benefits, challenges, and future of risk management in he Thai financial market.
Discover how modern technology solutions are transforming post-trade operations, from clearing and settlement to regulatory reporting, and why upgrading these critical infrastructures has become a strategic imperative for market participants.
Explore how evolving regulations and aging legacy systems are reshaping post-trade infrastructure in the financial industry. Learn about the challenges and opportunities in this article.
New
Descubra como la tecnología probada de Nasdaq AxiomSL facilita el cumplimiento con los cambios de la FRTB.
In the dynamic world of commodity and energy trading, staying ahead of emerging risks is more critical than ever. Download the whitepaper to get a forward view of the risks facing energy and commodity leaders to learn how they can best prepare.
Voluntary carbon markets (VCMs) have become a force across the globe. But a new report from Nasdaq and The ValueExchange finds that today’s structural challenges imperil tomorrow’s growth.
Learn how modern technology combines traditional market surveillance with social media analytics to enhance market integrity, ensure regulatory compliance, and protect investors from emerging digital threats.
New
Descubra cómo este ecosistema de operaciones de tesorería y monitoreo de riesgos en una única plataforma permite a los bancos digitales prepararse para el crecimiento.
New
Gestione cálculos complejos de riesgo de liquidez de Basilea de manera óptima con Nasdaq AxiomSL.
New
Descubra cómo esta plataforma integrada de middle office y riesgo de operaciones permite optimizar la rentabilidad en un mundo de mercados volátiles y un entorno regulatorio en constante cambio.
New
Descubra como optimizar los reportes de operaciones y transacciones en un entorno de reportes regulatorios en constante evolución.
New
Descubra como una implementación de Nasdaq CapCloud es la respuesta para lograr una mayor flexibilidad, escalabilidad y optimización.
New
Descubra cómo la implementación de Nasdaq RegCloud® puede reducir los riesgos de incumplimiento, aumentar la eficiencia y maximizar los recursos para lograr ahorros de costos y retorno de la inversión óptimos.
New
Descubra cómo las capacidades combinadas de Nasdaq AxiomSL® ControllerView® y la plataforma Nasdaq Calypso™ ayudan a las organizaciones a gestionar las divulgaciones de informes ESG y enfrentar un contexto de cambios regulatorios y de riesgo constantes con precisión y eficiencia.
New
Descubra los beneficios de una solución completa de reportes regulatorios que combina una plataforma de gestión de datos inteligente y un conjunto de servicios empresariales.
New
Learn how the Stock Exchange of Thailand (SET) modernized its core infrastructure across trading, pre-trade risk management, index, market surveillance and data management with Nasdaq technology to better serve international and domestic investors.
Discover how AI is revolutionizing surveillance tools in the tech industry. Learn about it's growing role and potential application applications in this previous Tech Tuesday article
In this TECH TUESDAY article, explore the evolving challenges and opportunities in capital market industry surveillance. Discover key insights into the tools and strategies reshaping market surveillance in today's fast-paced financial environment.
Read this article which discusses how EBA’s New Data Hub Will Transform Banking Transparency and Efficiency
Explore the delicate balance between innovation and stability in the financial sector as regulators and institutions navigate technological advancements and risks.
In recent public addresses, prominent regulators have delineated their key focus areas for 2024, reflecting industry trends like the expansion of crypto assets, the integration of artificial intelligence (AI), and the imperative for operational resilience. These priorities carry substantial implications for the market surveillance strategies of financial institutions.
In partnership with Chartis Research, Nasdaq hosted a webinar to discuss the 2023 Global Compliance Survey's findings, including point-in-time analysis and historical data on compliance trends and challenges.
New
HKMA/SFC OTC Derivatives Reporting Reform requires HKTR participants to standardize reporting by September 29, 2025. Firms must automate data processing and T+2 reconciliation. Nasdaq provides end-to-end support for HKTR reporting requirements.
The Securities and Exchange Commission recently published its 2024 Examination Priorities report. Tony Sio, Head of Regulatory Strategy and Innovation for Anti-Financial Crime at Nasdaq, joins Jill Malandrino on Nasdaq TradeTalks to discuss the purpose of the report and what it covers.
Read here to learn how a major life-insurance firm transformed its derivatives trading and processing ecosystem with the Nasdaq Calypso front-to-back SaaS solution — modernizing its systems while relying on Nasdaq CapCloud™ experts to manage the environment.
Discover how establishing a new marketplace model can meet the demand for carbon credit assets can create a standard way to trade carbon credits.
Interested in Nasdaq's cutting-edge capital markets and regulatory technology solutions? Complete this form to get in touch with our team. Let's start a conversation.
Someone from our team will reach out to you soon.
In the meantime, visit our FAQs page to learn more about Nasdaq Financial Technology.
Advancing the modernization of markets to create more sustainable, inclusive, and trusted financial networks enabling to reach their full potential.
Providing world-class technology to solve the biggest challenges across risk management, regulatory compliance, and capital markets infrastructure.
View all solutions
