Solutions For Sell-Side Firms
We provide regulatory compliance solutions for investment banks, broker-dealers, market makers, stockbrokers and other sell-side financial firms. Learn more about how our solutions could help your firm.
The Solutions We Offer to Sell Side Financial Firms
EMIR, MiFIR and SFTR Transaction Reporting
EMIR, MiFIR and SFTR transaction reporting solutions for sell-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.
Trade Surveillance for Market Abuse
Market abuse and trade surveillance solutions for sell-side financial firms.
TZ offers post-trade surveillance with tests for over 35 different forms of market abuse and market manipulation.
Use conditional parameters to account for complex criteria such as trading strategies and reduce false positives by dynamically adjusting to market movements.
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.
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 sell-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
Market Abuse In The Spotlight
NatWest Plead Guilty to Spoofing Charges, Will Pay $35m
Blog
NatWest agreed to pay $35 million in fines after pleading guilty to spoofing in the U.S. Treasury debt markets over the course of 10 years in the period leading up to 2018.