Award-winning compliance solutions offering businesses the financial freedom to thrive: eflow

In the highly competitive world we live in, the financial services sector plays a vital role in the growth of businesses. Compliance checks are crucial key regulatory objectives to protect investors and ensure that markets are fair, efficient, and transparent. Globally, there are various companies that provide excellent compliance checks, among them, eflow stands out. eflow 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.

The company’s 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. Eflow covers everything from market abuse, best execution, and transaction cost analysis to EMIR, MiFIR and SFTR reporting.

Market Abuse & Trade Surveillance

Included as standard in TZ, eflow’s market abuse module can test for over 35 different forms of market abuse and manipulation. TZ comes with over 35 market abuse, trading pattern and insider trading tests which will be run automatically on all of your trade data. Any suspicious trades will trigger an alert and be placed into a workbasket for review. All tests can be run with dynamic parameters that automatically adjust based on various market conditions. In 2022, firms need to fulfill a lot of requirements to be fully compliant with market abuse regulations. You need to monitor all of your trading activity, identify and flag any potentially abusive activity, and generate reports on these suspicious behaviors. Because TZ is a fully consolidated regulatory compliance system, doing all this is a lot easier. Unlike a lot of other compliance systems, it can test records, trigger alerts and generate reports - all in one place.

Solutions for Buy-Side Firms

eflow provides 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. 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 customize 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 & Transaction Cost Analysis

Included as standard in TZ, eflow’s best execution module can perform transaction cost analysis against a range of industry standard benchmarks and generate best ex reports in just a few clicks. TZ comes with 6 best execution tests which will be run automatically on all of your trade data. Any executions that fall outside of your threshold tolerances will trigger an alert and will be placed into a workbasket for review. All tests can be run with dynamic parameters that automatically adjust based on various market conditions .The Time test identifies instances where there is a delay between the receipt of an order and the corresponding execution being made. The Best Bid/Ask test identifies instances where a trade is executed outside the best bid or asks at the time of the trade on the venue on which the trade was executed.

Solutions For Sell-Side Firms

eflow provides regulatory compliance solutions for investment banks, broker-dealers, market makers, stockbrokers and other sell-side financial firms. 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.

MIFID II Record Keeping

Store records for the MiFID II mandated 5-7 years in Write Once Read Many (WORM) format. MiFID II requires that firms maintain detailed records of their transactions, communications and documentation. eflow solutions help simplify and automate this process. All of its solutions come with integrated reporting functionality. That means that you can compile reports on all stored data at no additional cost. Reports can be customized to cover different date ranges, filter different forms of data, and can then be exported in various file formats. Reports can be customized to cover different date ranges, filter different forms of data, and can then be exported in various file formats. Orders, transactions, communications and documentation can all be recorded and retrieved at a moment’s notice. Store data for the 5-7 year period required by ESMA and various European National Competent Authorities (NCAs).

Ben Parker, CEO and Founder

“eflow provides regulatory compliance solutions for investment banks, broker-dealers, market makers, stockbrokers and other sell-side financial firms.”