Nasdaq rolls out new fixed-income trade surveillance alerts

The vendor is introducing additional alerts for trade surveillance to help tailor its solution for OTC fixed income.

Compliance

For some years, the Financial Conduct Authority (FCA) has said that wholesale brokers in fixed income are not reporting enough suspicious activity on their platforms. Part of the challenge for these firms is that over-the-counter fixed income instruments trade infrequently and so have less associated transaction data. Additionally, many platforms connect to venues via web-based user interfaces that do not systematically record order and trade messages.

“A number of regulators have been quite

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