Compliance Analytics

A data-driven view into the OTC equity market.

The OTC Compliance Analytics product provides broker-dealers and investment managers with a comprehensive, quantitative tool for evaluating and automating risk processes for OTCQX, OTCQB and Pink securities.

Building on the success of the Compliance Data File, the Compliance Analytics product offers quantitative values in 16 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:

  • New Data Points: Name change data, Former Shell Status, Former Caveat Emptor Status
  • Price & Volume Analysis: Price and Volume change data vs. 30 day moving averages
  • Shares Outstanding: Authorized Shares and Shares Outstanding change data vs. previous quarter end
  • Risk Algorithm - Risk is assessed in 16 categories using a defined algorithm (see User Guide) and then totaled. All risk categories are discrete data points allowing firms to amend or omit values.

Product Sheet

OTC Compliance Analytics User Guide

For more information and/or sample data, please contact our Market Data Services Department:

Email: | Call: 212.220.2166

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