Broking firms are regularly targeted by Regulators given their high transaction volumes and diverse range of clients. Therefore, whether you’re a CFD Broker, Prime Broker, Broker-Dealer or Execution only Broker, it’s essential that you can demonstrate robust risk controls and clear audit trails, without swamping your compliance team with false positives.
With global regulators increasingly focusing their attention on the compliance processes employed by brokers, the ability of firms to demonstrate robust regulatory operations has never been more important.
eflow’s award-winning regulatory technology ensures that broking firms can meet all of their regulatory obligations, such as FINRA Rule 3110 in the U.S. and MiFID II in the EU, while reducing the workload of compliance teams.
Highly configurable alert settings, process automation and report generation means that brokers can customise their eflow system in line with their specific regulatory strategy. This means that compliance teams have the tools to identify and manage genuine risks with greater precision and pace.
Calibrate, test and refine your alert parameters in a Sandbox environment before promoting them to your live system to achieve true ‘noise cancelling’ surveillance.
Create detailed audit trails and regulatory reports at the click of a button to satisfy even the most stringent of regulatory demands.
Utilise eflow’s highly detailed reporting functionality to generate insights and management information that can be shared with key stakeholders across your firm.
Segregate alerts based on multiple variables including client type, volatility and liquidity, to create a more granular regulatory perspective.
"We have been consistently impressed with eflow’s constant dedication to ensuring that our compliance needs are met. We would recommend them to any firm looking for a market abuse or best execution solution."
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.
