sia Eagle Intermediaries

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Overview

sia EAGLE Intermediaries is an open solution capable of conforming with regulations, meeting compliance obligations and contributing to enhance the reputation of investment firms.

Key Features

sia EAGLE receives and manages data flows in order to identify market irregular behaviours, conflict of interests and to analyse order execution quality and execution policies, including:

  • transactions: orders, trades, quotes and revoked/cancelled transactions
  • master files: clients (including accounts and positions), financial instruments, issuers, operators
  • qualitative information: news, financial researches
  • quantitative information: daily and intraday prices, market volumes, exchange rates
  • business interests: according to the business done by the Financial Institution, e.g. financing, issuing, relevant shareholdings, etc

Key Benefits

sia EAGLE is a multi-company application. User profiles and diagnostic thresholds are parameterized for each Financial Institution active in the sia EAGLE installation, allowing to optimize information common to all the companies in the same group loading them once.

sia EAGLE Intermediaries is a rule based compliance system. Rules to be applied on data and related alarm settings are fully configurable and manageable by users, allowing the compliance to implement a proactive monitoring: checking on all single transactions and providing only the evidence of the non standard/compliant behaviours.

sia EAGLE Intermediaries already includes a number of ready-to-use rules which identify irregular market behaviours (MAD), orders with low quality level (MiFID) and interests matching elements (Conflict of Interests) and it allows an inter-directive view and monitoring (e.g. personal dealing has registry duties, conflict of interest impact and market abuse links).

The solution includes facilities to query on any entity archived in the system like orders, trades, accounts, news, financial instrument, prices and relevant persons.

The system also provides offline analysis tools capable of comparing intermediary’s activities like statistical analyses and a full set of ready-to-use queries, reports and graphs.

sia EAGLE Intermediaries allows to export all datain several file formats: Excel, PDF, plain text, HTML and Word.

sia EAGLE is a modular solution able to support a step by step implementation approach and it is an independent IT platform, fully separated from business technology, granting the compliance department the full segregation of data and an analysis environment with no dependencies from the business.

Product/Service details

User Suitability (Capital Markets & Investment)
Asset Managers, Trading firms, Wealth Managers
Geographic Availability
Africa, Europe
Asset Class Coverage
Bonds, Equities, Funds, Futures, Options and other Derivatives, Money Markets, Structured Products