Trade Oversight


Effi's Trade Oversight ModuleFrom Markup/Fair Pricing to Best Execution, Effi’s Trade Oversight Module provides a robust trade monitoring and surveillance process, comparing your trades to current market conditions. Configurable exception handling, reporting, and analytics provide insights that answer business questions and support regulatory audits.

Effi provides benchmark calculations and values, all supporting data, and leverages the prescribed prevailing market price waterfall process. The calculations are powered by our proprietary QTradesTM (side of market adjustments), QCurvesTM (yield curve adjustments) and QScoresTM (comparable bonds) data sets and are archived for compliance review and regulatory inquiry.

Effi’s solution for Markup/Fair Pricing is an unbiased approach to the PMP waterfall that provides a quantitively precise, repeatable, and defendable PMP value, as defined in MSRB Rule G-30.06 and FINRA Rule 2232(f)(1) and (2).

Customizations to benchmark settings, thresholds, and exception handling permits users to configure a solution tailored to their Best Execution objectives.

Effi Trade Oversight provides a sophisticated yet simple trade monitoring and surveillance process that:

  • provides configurable processes for Markup Monitoring & Disclosure, Fair Pricing, and Best Execution,
  • enables multiple measurement types to support requirements for different workflows,
  • offers customizable exception handling, reporting, and analytics, and
  • archives all calculations, supporting data, and exception handling details.

Get more information about Effi and our other transaction analytic tools:

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