Nasdaq 2022 Global Compliance Survey

In the latest iteration of Nasdaq’s Global Compliance Survey (GCS), released annually since 2015, feedback was gathered from financial industry compliance professionals to provide both a point in time analysis of current compliance and surveillance related issues, as well as year over year trend analysis of the perceptions and state of surveillance globally.

Findings from the survey provide interesting insight into what is top of mind for many firms when it comes to surveillance:

  • As data size increases, the ability to quickly visualize what’s happening was found paramount. Visualizations and analytics will be a differentiator of solution providers and a successful compliance team.
  • The need to deal with complex new data sets – including crypto – is pushing firms to further invest in trade surveillance – particularly in the area of market manipulation and data quality.
  • According to roughly 50% of survey participants, cost scalability of the surveillance function and the reduction of false positives are the greatest challenges teams need to remedy.
  • Download the full Survey Report for complete insights and access to all data, graphs, and charts.


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