SMARTS Broker. The Complete Compliance Solution for Brokers

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1 SMARTS Broker The Complete Compliance Solution for Brokers

2 SMARTS Broker Proven in the world s fastest and largest markets, SMARTS Broker is a managed service designed for brokers, FCMs and other market participants to ensure they can easily comply 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. More than 60 market participants across 55 markets depend on SMARTS Broker to meet their global compliance requirements.

3 Groundbreaking cross-market capabilities In today s era of trading across multiple asset classes and markets globally, it is essential that broker-dealer compliance professionals maintain a single consolidated view of trading data across any number of exchanges, trading venues and ETFs. SMARTS groundbreaking cross-market module is used by a significant number of brokers worldwide to carry out real-time cross-venue consolidated surveillance across hundreds of millions of messages per day, supporting sophisticated cross-market, cross-asset analysis. 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. SMARTS Broker s interactive graphical interface consolidates data across asset classes and global market venues into a single, intuitive snapshot to rapidly detect infringements.

4 Unmatched benefits SMARTS Broker provides compliance professionals with the same surveillance tools and trading analysis functionality that is available to exchanges and regulators, freeing compliance staff to focus on dealing with incidents and setting policies, thereby forming the backbone of an effective risk management strategy. SMARTS Broker 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 for all listed instruments.

5 Key characteristics > > Breadth and depth Comprehensive coverage of all listed instruments and all forms of market abuse. Provides surveillance for all levels of securities regulation from internal business rules of individual firms through to national and international legislation. Recent developments include fixed income, energy and commodities for both OTC and on-exchange activities. > > Ease of delivery Exclusive dedicated secure server with alerts and full trading data delivered via secure internet access. > > Access to data In-depth market data analysis tools. > > Up-to-date Incorporates the latest regulatory changes. > > Comprehensive data visualization capabilities Consolidates complex market information across venues into an intuitive snapshot for easy analysis. Includes trade-by-trade and quote-by-quote market visualizations, with filtering at house, account and trader levels to highlight unusual trading patterns. > > Cross-market Links instruments in multiple markets including options, futures and equities. Permits senior compliance officers located anywhere in the world to simultaneously monitor any combination of markets in which their firm is trading. > > Unparalleled domain expertise Dedicated teams of highly experienced software development and academic experts in conjunction with regular user input faciliates continuous innovation and best practices in surveillance technology. > > Case management SMARTS Broker has capabilities to deliver case management as part of the core service offering but is also capable of integration with third party applications via an XML-based web service interface. Dedicated partner For nearly 40 years, NASDAQ OMX has been a leader in creating electronic technology solutions for the financial industry. We have a long history of partnering with exchanges, regulators and market participants worldwide to provide the strategic guidance, technology tools and ongoing support to help them meet their goals. With SMARTS surveillance solutions, in addition to gaining an exceptional technology platform, our customers benefit from the unwavering commitment and dedicated support and expertise of the world s largest exchange company. Installed in more than 35 national exchanges and regulators, and more than 60 market participants across 55 markets, SMARTS surveillance solutions are helping customers respond to the ever changing regulatory landscape. For more information, visit

6 Asia-Pacific [a] Level 8, 155 George St, The Rocks, Sydney NSW 2000 Australia [p] [m/a] GPO Box 2985, Sydney NSW 2001 Australia Japan [a] 19/F, 3 Kanda Neribei-cho, Chiyoda-ku, Tokyo Japan [p] Europe and Middle East [a] 131 Finsbury Pavement London EC2A 1NT United Kingdom [p] Americas [a] One Liberty Plaza New York, NY [p]