OTC Markets Group Introduces Risk Scoring to Its Small Cap Listed Compliance Product

OTC Markets Group Inc., operator of financial markets for 10,000 U.S. and global securities, today announced the addition of ‘Risk Scoring’ to its Small Cap Listed Compliance Product. This latest enhancement provides broker-dealers and compliance and risk management teams with a quantitative metric to compare over 2,300 sub $500 million market cap U.S. exchange-listed securities.

Individual securities are assigned a total risk score based on 13 factors which provide a comprehensive view of the risk profile.  Key risk factors include: promotion, hot sector status, penny stock status, shell status (current and past), price, market cap and trading volatility. The latest data set provides a more in-depth, analytical compliance snapshot to better evaluate small cap securities listed on the NYSE, NYSE American and Nasdaq.

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“The ability to quickly assess and compare risk factors for individual small cap listed securities provides broker-dealers, risk management and compliance professionals with enhanced benchmarking and insight into this segment of the market,” said Matthew Fuchs, Executive Vice President of Market Data and Strategy at OTC Markets Group.  “Providing subscribers with efficient, comprehensive, real-time analytics tools continues to be our focus.”

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Risk Score Algorithm Data Also Includes Elements Related To:

• Name Changes
• Reverse Splits
• Price and Volume Change
• Shares /Authorized Shares Outstanding

Delivered in pipe-delimited format, twice daily at 5:00 am (ET) and 7:00 pm (ET), the file is licensed at an enterprise level designed for broker-dealers, AML, compliance and risk management professionals looking to more effectively right-size small cap listed equity compliance.

OTC Markets Group’s Market Data provides mission-critical quote and trade data, as well as company and security information on OTCQX, OTCQB and Pink securities to the trading, investment, legal and regulatory communities.  The Company’s data products include real-time data, end-of-day data, historical quote data, company financial data, security master data, corporate reference data and compliance data.  OTC Markets Group also provides data through leading market data redistributors.

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