Regulatory technology designed for Brokers
Broking firms are regularly targeted by Regulators given their high transaction volumes and diverse range of clients. Therefore, whether you’re a CFD Broker, Prime Broker, Broker-Dealer or Execution only Broker, it’s essential that you can demonstrate robust risk controls and clear audit trails, without swamping your compliance team with false positives.
How eflow helps brokers and broking firms to overcome their regulatory challenges
With global regulators increasingly focusing their attention on the compliance processes employed by brokers, the ability of firms to demonstrate robust regulatory operations has never been more important.
eflow’s award-winning regulatory technology ensures that broking firms can meet all of their regulatory obligations while reducing the workload of compliance teams.
Highly configurable alert settings, process automation and report generation means that brokers can customise their eflow system in line with their specific regulatory strategy. This means that compliance teams have the tools to identify and manage genuine risks with greater precision and pace.
Reduce the volume of false positive alerts that drain compliance resources
Generate audit trails and reporting quickly, clearly and efficiently
Build ‘one true view’ of your firm’s data
Move away from a ‘one size fits all’ approach to compliance
Class-leading regulatory compliance solutions
Trade Surveillance for Brokers
TZTS enables broking firms to manage their trade surveillance obligations in a more robust, efficient and effective manner. Highly configurable alert settings, automated workflows and streamlined process management reduces the volume of false positive alerts and allow your team to focus on what’s important.
eComms Surveillance for Brokers
TZEC is a comprehensive eComms surveillance solution that brokers can deploy as a standalone tool or integrate with eflow’s TZTS trade surveillance technology. It enables you to monitor digital messages across multiple channels from one centralised hub, allowing firms to uncover communications that often precede instances of market abuse.
Transaction Reporting for Brokers
TZTR offers broking firms a holistic transaction reporting solution for EMIR and MiFIR. It acts as the centralised digital hub from which you can manage all aspects of your firm’s transaction reporting strategy and includes three-way data reconciliation, error handling, automatic submissions and field-by-field editing as standard.
Best Execution and TCA for Brokers
Brokers are under legal obligations to seek the most favourable terms to execute their clients’ orders. TZBE enables you to meet these obligations through a centralised digital platform that automates best execution tests, enriches your data with market data curated from more than 250 sources, and creates highly granular TCA reporting.
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.
