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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 (§ 2 para. 2 no. 3 WpIG)
  • Investment advice (§ 2 para. 2 no. 4 WpIG)
  • Acquisition agency (§ 2 para. 2 no. 5 WpIG)

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 Grant Thornton.

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.

[booked-calendar calendar=32]

Contact

 

Steven Winterkamp
ETF Advisory & Trading 

Phone +49 89 442 327 201

Contact

Crossflow Financial Advisors GmbH
Sonnenstr. 19
80331 Munich
Germany
Imprint
Privacy Policy
Career

Phone  +49 89 442 327 442
Fax         +49 89 442 327 190
E-Mail   ETF-Team(at)crossflow.de

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– ENGLISH –

This website is reserved exclusively for professional investors within the meaning of Directive 2014/65/EC (MiFID II Directive). It is not intended for use by private clients.

Professional clients are investors who can be assumed to have sufficient experience, knowledge and expertise to make their own investment decisions and to be able to adequately assess the associated risks.

The information on this website has been checked exclusively for compatibility with German law. This site is not directed at persons subject to the laws of a country in which this publication is not permitted or where direct access to this site is prohibited due to the persons’ nationality or residence. Persons accessing this site are aware that they are solely responsible for compliance with applicable laws and regulations in their country of residence and/or nationality.

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