Asset, wealth and investment managers are under mounting pressure to meet evolving compliance demands. As regulators become more stringent, firms need to focus on improving the efficiency and accuracy of how they monitor, report, and manage risk to stay ahead of regulatory expectations, while reducing operational burdens.
Asset, wealth and investment managers are dealing with more complex client requirements than ever before. Firms, particularly those trading in public securities, are subject to rules from SEC, CFTC, FINRA, and MiFID II. This means that they must monitor trading activities and communications to ensure there is no misuse of insider information or manipulation of markets.
As a result, you need sophisticated and configurable regulatory technology that can keep up with your operational demands.
eflow’s award-winning solutions are engineered to adapt to your firm’s specific requirements. Whether that’s managing multiple asset classes, cross-jurisdictional trading, or particularly complex trading lifecycle, you have the peace of mind of knowing that your regulatory processes will stand up to scrutiny.
Ensure effective surveillance across different asset classes and client profiles, regardless of complexity – all managed through eflow’s integrated regulatory solutions.
Improve data sharing and communications between compliance, risk, and legal teams through eflow’s case management functionality, streamlining investigations and resolving issues transparently.
Integrate all relevant data sources - including internal trade data, market feeds, and real-time news - into a single regulatory platform for a holistic view of potential regulatory risk.
Remove the need for the type of manual reporting processes that strain resources, increase costs, and lead to gaps in your regulatory reporting – eflow’s automated workflows will do all the heavy lifting for you.
“RBC Brewin Dolphin has used TZTS for trade surveillance for over six years. We consider a vendor relationship to be more than just a company providing a product; we look for vendors who are committed to product and customer service improvement. eflow fit that requirement perfectly.”
Scalable, end-to-end regulatory solutions that can be configured precisely and deployed rapidly.
Simplifies, streamlines and strengthens your trade surveillance – reducing the ‘noise’ of false positives to a whisper.
Multi-channel eComms monitoring and archiving, revealing the intent and context surrounding every trade.
Demonstrate compliance with Best Execution legislation and uncover commercial insights.
Centralises and automates all transaction reporting, from EMIR and MiFIR reporting to robust error handling and submission processes
