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China Merchants Securities (HK) Co., Ltd. Implements NASDAQ OMX's SMARTS Broker to Manage Equities Surveillance

NEW YORK and HONG KONG, April 9, 2012 (GLOBE NEWSWIRE) -- China Merchants Securities (HK) Co, Ltd. ("CMS"), a wholly owned subsidiary of China Merchants Securities Co., Ltd ("China Merchants Securities"), has implemented NASDAQ OMX's SMARTS Broker solution for surveillance and compliance monitoring of its equities trading activity.

CMS' compliance team will use the SMARTS Broker solution to enhance surveillance capabilities in monitoring both client and employee trading for abuse across disparate trading systems. Easy to deploy as a hosted solution, SMARTS Broker helps satisfy CMS' need for more robust surveillance capabilities. CMS will utilize the automated trade monitoring solution to facilitate quick identification of suspicious trading behavior and intuitive detection of potential market manipulation. SMARTS Broker will provide CMS compliance professionals with actionable insight and sophisticated alerts for insider trading, market manipulation, and violations of order handling rules, watch lists and restricted lists.

The partnership between CMS and NASDAQ OMX provides an opportunity to expand the highly scalable SMARTS Broker surveillance and compliance monitoring technology to other areas of operation across mainland China. NASDAQ OMX SMARTS surveillance and compliance monitoring technology fosters a community of transparency as it is also used by China's HKEx Exchange and the regulator SFC.

Benny Mau, spokesman of CMS, said, "We searched for a solution that could better manage our surveillance responsibilities and keep pace with the existing and future regulatory demands."

Mau added, "SMARTS Broker meets these requirements with sophisticated capabilities that put our surveillance program on par with global investment banks, exchanges and regulators."

Paul McKeown, Vice President of Market Technology at NASDAQ OMX, said, "'CMS' business in the Asia Pacific region will be well served by their decision to enhance market surveillance capabilities using SMARTS Broker, a solution with enough flexibility and scalability to add new asset classes and connect to new marketplaces as their business evolves."

He added, "Hong Kong is a great example of where NASDAQ OMX SMARTS is used by broker-dealers, exchanges and the regulator. As a technology provider, we combine NASDAQ OMX  market technology and SMARTS to create compliance and surveillance ecosystems in financial services communities across the globe."

About China Merchants Securities:

China Merchants Securities, one of the leading financial services institutions in China, was listed on Shanghai Stock Exchange in November, 2009 (Trading Code: 600999).

CMS is licensed by the Securities and Futures Commission of Hong Kong to conduct Type 1, 2, 4, 6 and 9 regulated activity, with main focuses on securities brokerage, investment banking and asset management businesses.

As of Jan 2012, China Merchants Securities and its subsidiary, CMS, have a client base of more than 3.5 million accounts and its asset under management reaches at US 75 billion.


The inventor of the electronic exchange, The NASDAQ OMX Group, Inc., fuels economies and provides transformative technologies for the entire lifecycle of a trade - from risk management to trade to surveillance to clearing. In the US and Europe, we own and operate 24 markets, 3 clearinghouses and 5 central securities depositories supporting equities, options, fixed income, derivatives, commodities, futures and structured products. Able to traffic more than 1 million messages per second at sub-40 microsecond speeds with 99.999% uptime, our technology drives more than 70 marketplaces in 50 developed and emerging countries into the future, powering 1 in 10 of the world's securities transactions. Our award-winning data products and worldwide indexes are the benchmarks in the financial industry. Home to approximately 3,400 listed companies worth $5.1 trillion in market cap whose innovations shape our world, we give the ideas of tomorrow access to capital today. Welcome to where the world takes a big leap forward, daily.  Welcome to the NASDAQ OMX Century.  To learn more, visit Follow us on Facebook ( and Twitter ( (Symbol: NDAQ and member of S&P 500)

Cautionary Note Regarding Forward-Looking Statements

The matters described herein contain forward-looking statements that are made under the Safe Harbor provisions of the Private Securities Litigation Reform Act of 1995. These statements include, but are not limited to, statements about NASDAQ OMX's SMARTS Broker solution and other products and offerings. We caution that these statements are not guarantees of future performance. Actual results may differ materially from those expressed or implied in the forward-looking statements. Forward-looking statements involve a number of risks, uncertainties or other factors beyond NASDAQ OMX's control. These factors include, but are not limited to factors detailed in NASDAQ OMX's annual report on Form 10-K, and periodic reports filed with the U.S. Securities and Exchange Commission. We undertake no obligation to release any revisions to any forward-looking statements.

CONTACT: Media Contacts:

         China Merchants Securities (HK) Co., Ltd.
         Phone: 0086 755 269 51111
         Email :
         NASDAQ OMX
         Robert Madden
         Phone: 646 441 5045
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