Regulatory technology for Investment Banks
As regulatory enforcement action accelerates, Investment Banks are under increasing scrutiny to demonstrate that their compliance processes are watertight. eflow’s technology enables them to implement stringent regulatory controls while driving cross-departmental efficiency.
How eflow helps investment banks overcome their regulatory challenges
Investment banks, due to their role in executing large-scale trades, capital raising, and advisory services, are under intense scrutiny from global regulators.
eflow’s technology is trusted by some of the world’s most prestigious financial institutions to manage and streamline their compliance processes in line with regulatory expectations, while also reducing the operational burden on their teams.
Our digital tools can be configured for different client types, asset classes and jurisdictions, while advanced case management tools enhance communications between teams.
Ensure compliance across multiple asset classes and client types
Break down silos and improve communication
Generate ‘one true view’ of your firm’s data
Automate and streamline your regulatory reporting
Class-leading regulatory compliance solutions
Trade Surveillance for Investment Banks
eflow’s TZTS system offers investment banks a robust, efficient and highly configurable way of managing their trade surveillance obligations. It combines comprehensive asset class coverage, configurable settings to cater for different client types, and a case management system to improve data sharing across teams.
eComms Surveillance for Investment Banks
TZEC offers investment banks a fully integrated eComms surveillance solution as part of a holistic strategy to prevent market abuse. Generate a comprehensive view of your digital communications channels, identify potentially suspicious behaviour, and make informed, data-led decisions based on the intent and context surrounding each trade.
Transaction Reporting for Investment Banks
TZTR enables investment banks to satisfy their transaction reporting obligations with the minimum of effort. The system will be configured to your firm’s specific requirements, includes automatic data enrichment and validation, and streamlines the regulatory reporting process to remove the burden from your own team.
Best Execution and TCA for Investment Banks
Investment banks must demonstrate that they are acting in the best interests of their clients at all times. TZBE enables you to meet these obligations by automating best execution tests, generating highly granular TCA reporting, and uncovering commercial insights to enhance your trading strategy and strengthen client relationships.
RBC Brewin Dolphin has used TZTS for trade surveillance for six years. At RBC 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.
