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Compliance Analytics
Automate and Streamline OTC Equity Market Compliance
The award winning OTC Compliance Analytics product provides broker-dealers and investment managers with a comprehensive, quantitative tool for evaluating and automating risk processes for OTCQX, OTCQB, OTCID and Pink Limited Information securities.
The Compliance Analytics product offers quantitative values in 23 risk categories as well as an aggregate risk value for all OTC equity securities (~22 K). The product contains two files: a base file which contains the details regarding the risk values and an analytics file which contains the risk analysis at the security level.
Key data & functional details include:
Risk Algorithm - Risk is assessed in 23 categories using a defined algorithm and then totaled to create a risk score for all OTC securities. All risk categories are discrete data points allowing firms to amend or omit values.
Promotion and Shell Risk Data - Addition of new stock promotion and shell risk data to analytics and base files.
Key Compliance Data Points: Name change data, Former Shell Status, Former Caveat Emptor Status
Price & Volume Change Analysis: Price and Volume change data vs. 30 day moving averages
Shares Outstanding Change Analysis: Authorized Shares and Shares Outstanding change data vs. previous quarter end
Functional & Technical details
Created twice daily at 5:00 AM ET and 7:00PM ET — on every trading day.
Complete data set (not delta files)
Available on OTC Markets SFTP server
Pipe delimited text file
CUSIP and Non CUSIP versions available
File size: Base File ~12 MB | Analytics File ~6 MB
The OTC Compliance Data File product is licensed at the enterprise level (no reporting) for $3,500/month for internal use and $4,000/month for internal use and external display use.
Complete market data pricing is available in our Market Data Fee Schedule.
