Regulatory Compliance Solutions for the Financial Services Industry

Our award winning compliance solutions have given buy-side and sell-side financial firms the freedom to thrive with the confidence of knowing that their regulatory compliance is taken care of. We cover everything from market abuse, best execution, and transaction cost analysis to EMIR, MiFIR and SFTR reporting.

Not sure where to start? Find a compliance solution tailored to fit your business type

  • Buy Side
  • Sell Side
  • Principal Firms and Solution Providers
  • Solutions for Asset Managers, Banks, Wealth Managers, Hedge Funds and More

    Market abuse, best execution, transaction cost analysis, transaction reporting and regulatory reporting solutions specifically tailored for the buy side.

    Ingest, test and monitor everything from vanilla exchange traded products to exotic OTC products such as CDOs, CLOs, mortgage-backed securities and structured products to ensure wider compliance coverage.

    Set parameters dynamically to account for factors such as strategy, portfolio types, execution methods, or any other data field. Utilise flexible calibration options to ensure your system works for your business type and trade flows.

    Tailored solutions for everything from small family offices to multi-jurisdictional banks.

    Streamlined, exception-based system offers transparent surveillance and reporting with simple case management and flexible workflows.

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    Compliance Solutions for Banks, Broker Dealers and More

    Market abuse, best execution, transaction cost analysis, transaction reporting and regulatory reporting solutions specifically tailored for the sell side.

    Utilise our robust infrastructure to ingest extremely high trade volumes - up to 10s of millions of trades per day - with no effect on system speed and performance.

    Handle the compliance demands of high trade volumes with flexible parameterisation. Set dynamic and conditional parameters to account for factors such execution method (Direct Market Access), client/entity type, systematic trading, algorithmic trading and more. Reduce the noise of false positives and false negatives to stay compliant.

    Exception-based approach ensures a streamlined and simple compliance workflow while ensuring compliance.

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    Flexible Solutions for Principal Firms, Solution Providers and FinTechs

    Set up a flexible regulatory compliance workflow to monitor your clients and Appointed Representatives (ARs) for market abuse and best execution.

    Flexible calibration options allow you to monitor all clients in a single TZ system, or set up individual systems for each client. Our business analysis team will help you decide which option is best for you.

    Set up bespoke, dynamic parameters to cover your entire client base and supplement your base testing parameters with a subset of parameters specific to each client. This will help to reduce false positives in your system.

    Vast asset class coverage can cover a range of ARs and client types.

    We also offer transaction reporting for both primary and secondary market clients with our reporting solution TZTR.

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    What We Can Do

    Out solutions cover a range of global regulatory compliance requirements. All the solutions listed below can be used in the EU, UK, North America and APAC regions to ensure compliance with local regulatory standards.

    Market Abuse

    Market Abuse

    Automatically ingest, monitor and test trade data for over 30 forms of abusive activities and behaviours. TZ will identify suspicious trades, trigger alerts based on your parameters, and provide sophisticated case management tools so you can deal with outliers.

    Best Execution Monitoring

    Best Execution Monitoring

    Effortless Best Execution monitoring and reporting. Test trades against a range of benchmarks and generate compliant RTS 27 & RTS 28 reports in a few clicks.

    Transaction Cost Analysis

    Transaction Cost Analysis

    Analyse and test transactions against a wide range of industry benchmarks. Set parameters to automatically trigger alerts whenever an execution is made that falls outside your thresholds.

    MiFIR Reporting

    MiFIR Reporting

    Compile trade data and generate regulator-ready MiFID II reports in a few clicks. TZTR automatically connects with a number of Approved Reporting Mechanisms (ARMs) and National Competent Authorities (NCAs)

    EMIR Reporting

    EMIR Reporting

    Simplify your EMIR reporting process and connect with a number of approved Trade Repositories (TRs). Compile, create and submit EMIR reports in a few clicks.

    SFTR Reporting

    SFTR Reporting

    Simple, automated reporting for securities financing transactions (SFTs). Complile trade data and format into regulator ready reports with a few clicks.

    Record Keeping

    Record Keeping

    MiFID II states that firms must retain records for up to 5-7 years. TZ comes with this functionality as standard, storing all data in WORM format for a minimum of 7 years.

    eComms Surveillance

    eComms Surveillance

    Analyse non-structured communication data such as emails, IMs, Whatsapps to ensure compliance with a range of compliance regulations. (Offered via partnership)

    Market Data Insights

    Market Data Insights

    Compare your trade data against market data from over 250 global venues, track price movements, and generate reports from within TZ.

    Our Products

    Browse our regulatory compliance solutions

    TZ Regulatory Compliance

    TZ Regulatory Compliance

    Trade surveillance for market abuse and insider trading, best execution monitoring and reporting, TCA and more.

    TZTR Regulatory Reporting Hub

    TZTR Regulatory Reporting Hub

    Regulatory reporting and data integration solutions including EMIR, MiFIR and SFTR transaction reporting.

    PATH Development Platform

    PATH Development Platform

    The flexibility of bespoke solutions combined with the rapid development of off-the-shelf options.

    What Our Customers Say About Us

    Read testimonials from our TZ and TZTR clients

    Brewin Dolphin has used TZ for Trade Surveillance for six years. At Brewin Dolphin we consider a vendor relationship to be more than just the vendor providing a product; we look for vendors who are committed to product and customer service improvement. eflow fit that requirement perfectly.

    Brewin Dolphin

    Lisa Todd

    Assistant Director, Brewin Dolphin

    eflow’s commitment to product development as regulation changes stands out amongst its competitors. With eflow we are confident that we have a partner that will evolve as our requirements also evolve.

    Aegon Asset Management

    Compliance Manager

    Aegon Asset Management

    We have been consistently impressed with eflow’s constant dedication to ensuring that our compliance needs are met. We would recommend them to any firm looking for a market abuse or best execution solution.

    Plus500

    Alex Phillips

    Head of Compliance & MLRO, Plus500

    Brewin Dolphin has used TZ for Trade Surveillance for six years. At Brewin Dolphin we consider a vendor relationship to be more than just the vendor providing a product; we look for vendors who are committed to product and customer service improvement. eflow fit that requirement perfectly.

    Brewin Dolphin

    Lisa Todd

    Assistant Director, Brewin Dolphin

    eflow’s commitment to product development as regulation changes stands out amongst its competitors. With eflow we are confident that we have a partner that will evolve as our requirements also evolve.

    Aegon Asset Management

    Compliance Manager

    Aegon Asset Management

    We have been consistently impressed with eflow’s constant dedication to ensuring that our compliance needs are met. We would recommend them to any firm looking for a market abuse or best execution solution.

    Plus500

    Alex Phillips

    Head of Compliance & MLRO, Plus500

    Brewin Dolphin has used TZ for Trade Surveillance for six years. At Brewin Dolphin we consider a vendor relationship to be more than just the vendor providing a product; we look for vendors who are committed to product and customer service improvement. eflow fit that requirement perfectly.

    Brewin Dolphin

    Lisa Todd

    Assistant Director, Brewin Dolphin

    Industry Recognition

    AIFINTECH100
    Photo of TTI 2022 Award
    Photo of RegTech100
    Photo of HFM 2022 US Award
    Photo of RTI US 2021 Award
    A photo of Eflow Global RegTech Insight Awards 2021 Europe
    A photo of HFM European Technology Awards 2021
    A photo of Eflow Global TrandingTech Insight Awards 2020 Europe

    Get In Touch

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