Compliance

Crossflow Financial Advisors GmbH is a securities services company within the meaning of Section 2 (4) of the German Securities Trading Act (WpHG, Wertpapierhandelsgesetz) and offers solutions to all ETF issues. In particular, Crossflow supports institutional investors in product selection (product governance) and trading (best price / best execution) of ETFs.

As part of the implementation of the Markets in Financial Instruments Directive (MiFID I & MiFID II), the provisions of the German Securities Trading Act (Wertpapierhandelsgesetz, WpHG), the minimum requirements for the compliance function (MaComp) and the minimum requirements for risk management (MaRisk), we have created a reporting system in cooperation with renowned auditors that makes it considerably easier for our clients to conduct business with us.

Our clients receive standardised and automated documentation which meets all their regulatory requirements. This relief is a decisive competitive advantage. Our Trade Monitoring & Compliance Reporting is already used by our clients at the operational level (trade, midoffice, legal & compliance) and in the strategic area (board, investment committees). We provide our clients with these reports as part of ETF trading, staggered or as a complete package free of charge. Clients also have the possibility to outsource their reporting obligations according to MiFIR Art. 20, 21 and/or MiFIR Art. 26 to Crossflow. We will be happy to provide you with further information on request.

Compliance

Crossflow Financial Advisors GmbH is a securities services company within the meaning of Section 2 (4) of the German Securities Trading Act (WpHG) and offers solutions to all ETF issues. In particular, Crossflow supports institutional investors in product selection (product governance) and trading (best price / best execution) of ETFs.

As part of the implementation of the Markets in Financial Instruments Directive (MiFID I & MiFID II), the provisions of the German Securities Trading Act (Wertpapierhandelsgesetz, WpHG), the minimum requirements for the compliance function (MaComp) and the minimum requirements for risk management (MaRisk), we have created a reporting system in cooperation with renowned auditors that makes it considerably easier for our clients to conduct business with us.

Our clients receive standardised and automated documentation which meets all their regulatory requirements. This relief is a decisive competitive advantage. Our Trade Monitoring & Compliance Reporting is already used by our clients at the operational level (trade, midoffice, legal & compliance) and in the strategic area (board, investment committees). We provide our clients with these reports as part of ETF trading, staggered or as a complete package free of charge. Clients also have the possibility to outsource their reporting obligations according to MiFIR Art. 20, 21 and/or MiFIR Art. 26 to Crossflow. We will be happy to provide you with further information on request.

Crossflow Financial Advisors GmbH

The Company was founded in June 2010 and is active through an independent regulatory setup. Crossflow Financial Advisors GmbH has permission to provide the following financial services:

  • Investment brokerage (Section 1 para. 1a sentence 2 No. 1 KWG)
  • Investment advice (Section 1 para. 1a sentence 2 No. 1a KWG)
  • Acquisition agency (Section 1 para. 1a sentence 2 No. 2 KWG)

Competent regulatory authority:

German Federal Financial Supervisory Authority
Marie-Curie-Str. 24-28
60439 Frankfurt
Germany

 

Crossflow works exclusively with institutional clients from Germany and abroad, who are classified as Eligible Counterparties or Professional Clients within the meaning of the WpHG.

There are no business relationships with private clients.

The Institute’s annual financial statements are audited by the independent auditing firm Ernst & Young.

CLIENT INFORMATION ACCORDING TO THE GERMAN SECURITIES TRADE ACT

We will be happy to send you the following documents by email or post:

  • General client information
  • Conflict of interest policy
  • Best execution policy
  • Inducement Policy

Please fill in our contact form for this purpose: Contact

ARRANGE A CALL

You are interested in our services or have questions about them? Please do not hesitate to request a meeting or a personal phone call.

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Contact

 

Oliver Sharbati
ETF Advisory & Trading Manager

Phone +49 89 442 327 201

Contact

Crossflow Financial Advisors GmbH
Sonnenstr. 19
80331 Munich
Germany
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Phone  +49 89 442 327 442
Fax         +49 89 442 327 190
E-Mail   ETF-Team(at)crossflow.de