Compliance

Robust Data for Your Regulatory Requirements

Data Inventory

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Simplify and enhance your processes

The limits, standards, and requirements set by regulatory authorities that financial institutions must adhere to present data challenges that we are well placed to help with. Our compliance solutions are built to reduce the regulatory burden. Our data solutions enable you to effectively monitor, assess and manage all compliance related activities, simplifying your processes.

How we support compliance

Monitor trade activity for MiFiD II

MIFID II aims to ensure firms act in the best interests of their clients and as part of that, firms are required to capture specific data associated with the product. This all needs to be recorded in the European MIFID II Template (EMT). Our Order and Trade Service is specifically designed for this use case. It supplies clients with their own activity on TP ICAP venues, to satisfy EMT reporting and record keeping with certainty and ease.

Manage risk in line with regulations

We provide a global view of your activity across our venues, collated and standardised for you, saving you time and removing the risk of human error. This better enables you to measure security-level and portfolio-level liquidity risk.

Enhance your trade cost analysis (TCA)

TCA is a critical pillar of an institution's risk and compliance approach. It involves analysing the overall costs of executing trades, including both explicit costs (commissions, fees) and implicit costs (market impact, price slippage). Our TCA solution, the Trading Analytics Platform, helps evaluate whether the costs incurred are reasonable and in-line with market norms.

Improve your Internal Model Approach (IMA) for FRTB

Banks are adopting the Internal Model Approach (IMA) over the Standard Approach (SA) as it allows them to retain their capital more effectively. In order to do this, they need real price observations (RPOs) to pass the Risk Factor Eligibility Test (RFET) and perform desk level profit and loss attribution tests (PLAT). As one of the world’s largest inter-dealer brokers, we have access to scarce and unique data to feed your views, to feed into your models.

Compliance products

Enhance your TCA

Trading Analytics Platform

We have built a solution that enables clients to monitor, measure, and uncover insights that assist them with achieving best execution, and in their data driven investing and trading decisions.

Comprehensive data

Fundamental Review of the Trading Book (FRTB) Data

Now incorporated into Basel 3, FRTB requires historical market data, ongoing market data and evidence of market activity. Our solution provides all three aspects. Our Evidential Pricing information includes rare trade and order data. Risk factor bucketing is also available.

increased visibility

Surveillance Data

A consolidation of an institution's order and trade data placed and executed on TP ICAP’s trading venues and brokerage platforms, enriched with additional insight. The data is dual designed to be used standalone or ingested into a client's existing surveillance systems to provide a holistic view of individual trader activity.

Save time

Order and Trade Data

A critical part of the EU and UK Market Abuse Regulation. We provide a replay of orders placed and trades executed on TP ICAP’s trading venues and brokerage platforms.

Markets we cover

We connect clients to a wealth of over-the-counter market data and solutions that cover all major asset classes.

Credit

Energy & Commodities

Equity derivatives

Fixed Income

Foreign Exchange Derivatives

Inflation

Interest rate derivatives

money markets

solutions for compliance

If you need data to meet your regulatory requirements, see our solutions

Regulatory Solutions

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