Regulatory and Compliance

Compliance failure is too costly to ignore.

Banks have continually struggled to comply with Dodd Frank, MiFID, EMIR, and other regulations resulting in heavy fines and a hit to their reputations—there is no room for additional costly mistakes. Furthermore, institutions lack systems that provide a front-to-back view of all transactions with integrated compliance rules, workflow, reconciliation, and reporting capabilities.

Stay compliant with EZOPS.

monitor compliance
Track QFC, EBC, and KPIs for Part-43 and Part-45 of CFTC regulations.
Ensure compliance for CFTC, Finra, NFA, FCA, and ESMA mandates.
Track Violations in Real Time
View and act on real-time and 7-, 15-, 30-minute reporting of PET and confirmation submissions.
Check Docs Before Trading
Confirm in real-time if SWAP doc initial and variation margin docs were signed prior to trading with new counterparties by pinging relevant systems.
Timely and Accurate Submissions
Check for over-, under-, and mis-reported data submission to trade repositories and reconcile with internal data.
Front-to-back view of all transactions.
Integrated workflow, reconciliation, and reporting capabilities.


Marketing Collateral
Hidden Risk of Spreadsheet Workarounds
Spreadsheet workarounds and manual processes hide risk at a tremendous cost and are unsustainable in the digital battleground. Data quality challenges resulting in manual workarounds impedes growth for banks. The path to terminating consent orders and driving operational alpha and profits lies in intelligent automation.
How to Automate Low Value and Repetitive Operational Tasks to Lower Risk, Deliver Greater Accuracy and Improve Profit Margins
Despite the pandemic era assumption that most banking workflows have now been automated in the race to digital, for many, the number of manual or semi-manual workflows and processes has increased. In some cases, threefold and this does not look like it will slow down any time soon.
Avoid Fines by Incorporating Independent Validation of Regulatory Reporting
Learn the five key components of independent validation and how the EZOPS platform solves regulatory reporting delays and tracks conformance for compliance rules.