Solutions For Buy-Side Firms
We provide regulatory compliance solutions for hedge funds, asset managers, wealth managers and other buy-side financial firms. With today’s volatile market conditions, you need a compliance solution that can keep up. Learn more about how our market abuse, best execution and regulatory reporting solutions could help your firm.
The Solutions We Offer to Buy Side Financial Firms
Trade Surveillance for Market Abuse
Market abuse and trade surveillance solutions for buy-side financial firms.
TZ offers post-trade surveillance with tests for over 35 different forms of market abuse and market manipulation.
Stay compliant with global market abuse regulations from all financial regulators, including FCA, SEC, FINRA, AMF, CySEC, MAS and more.
Automatically run market abuse tests for Insider Trading / Insider Dealing, Spoofing, Marking the Open / Marking the Close, Wash Trading, Pinging, Layering, Ramping, Churning, Pump and Dump, Painting the Tape and more.
Set test parameters dynamically to automatically account for variables to reduce false positive. Set conditional parameter values based on a number of reference and market data metrics, and customise parameters based on any field within your data.
Compile similar alerts into convenient groups and bulk process them to streamline your compliance workflow.
Best Execution Monitoring, Reporting and Transaction Cost Analysis
Best execution and TCA solutions for buy-side financial firms.
TZ offers best execution monitoring, RTS 27 and RTS 28 best execution reporting, and transaction cost analysis.
Automatically run best execution tests against a range of benchmarks including VWAP, Time, Venue, Implementation Shortfall and Best Bid/Ask.
Set test parameters dynamically to automatically account for variables to reduce false positive. Set conditional parameter values based on a number of reference and market data metrics, and customise parameters based on any field within your data.
Compile similar alerts into convenient groups and bulk process them to streamline your compliance workflow
EMIR, MiFIR and SFTR Transaction Reporting
EMIR, MiFIR and SFTR transaction reporting solutions for buy-side financial firms.
TZTR provides control over the entire reporting lifecycle from order to settlement.
Perform automatic 3-way reconciliation on all trade data to ensure accuracy from source (trading system), to intermediary (ARM/TR) to NCA.
Ingest response files from regulators, ARMs and TRs and make edits to your reports on a field-by-field basis without leaving the system.
Automatic submission and resubmission of reports to reduce workload.
Automatically cross reference all records against the FIRDs register to ensure eligibility.
Market Abuse in the Spotlight
E*TRADE Fined $350k for Failures in Market Abuse Supervision
Blog
E*TRADE - a subsidiary of Morgan Stanley - has been fined $350,000 USD by the US regulator FINRA. This fine, as well as a censure order, was issued by FINRA owing to the firm’s failure to maintain adequate trade surveillance systems to ensure compliance with market abuse regulations