THE EFLOW BLOG
Informed opinions from industry experts.
EMIR reporting after Brexit – What to Expect
EMIR Reporting After Brexit – What to Expect Ben Parker CEOlinkedintwitterThe end of the UK’s Brexit transition period is fast approaching, and businesses on both sides of the English Channel are hurriedly priming themselves for what’s to come....
eflow Partners with e-Comms Surveillance Provider IP Sentinel
eflow Partners with IP Sentinel to Provide Holistic and Unified Trade and Communication Surveillance Solution Addressing the growing requirement within financial compliance to unify dedicated best of breed trade and e-Communications surveillance at...
FCA Addresses Market Abuse Concerns During COVID-19
FCA Market Watch 63 Addresses Market Conduct During Coronavirus Pandemic In their latest Market Watch newsletter, the FCA have addressed the importance of proper ‘market conduct and discipline in the context of coronavirus’. In a direct appeal,...
Clashes Between EU and UK Asset Managers Over MiFID II Unbundling
Disagreement Over Research Unbundling Between UK and EU Fund Managers As part of the regulatory framework enacted by MiFID II in January of 2018, asset managers were required to separate the cost of research from other costs such as trading...
COVID-19 Exposes Gaps in Market Data Supply
Market Data Vendors Struggle to Keep Up Amid Coronavirus Pandemic Since the outbreak of COVID-19 has spread and made its impact known on global markets, a number of banks and investment firms have been required to fall back on Business Continuity...
Best Execution Reporting During the COVID-19 Pandemic
ESMA Releases Public Statement on MiFID II Best Execution Reporting During COVID-19 Pandemic The disruption to markets caused by preventative lockdowns in response to the Coronavirus pandemic has caused execution venues and firms a great deal of...
ESMA Publishes Opinions on Position Limits under MiFID II
Updated Opinions on Position Limits Under MiFID II Published by ESMA On February 7th, ESMA published seven opinions on position limits regarding commodity derivatives under MiFID II/MiFIR. The opinions published by ESMA agree with a number of...
Non-Compliance Fines Exceed $36 Billion Since 2008 Financial Crisis
Global financial institutions have been fined over $36 billion since 2008 At the close of the decade, global fines for non-compliance with Anti-Money Laundering (AML), Know your Customer (KYC) and sanctions regulations have exceeded $36 billion...
FSMA Releases Brochure on MiFID II Investor Protection Rules
FSMA Publishes Educational Brochure on MiFID II Investor Protection The Financial Services and Markets Authority (FSMA) has published a brochure intended to help investors and consumers better understand their rights. The brochure also outlines...
MiFID III – How Regulatory Bodies Can Improve On MiFID II
REGULATORY MiFID III - How Regulatory Bodies Can Improve On MiFID II It has now been two years since MiFID II was first implemented, and its impact on investors and the markets more generally is gradually becoming clearer. With this clarity comes...
Fifth Of UK Fund Managers Admit To Inaccurate Reporting
Fifth Of UK Fund Managers Make Reporting Errors to FCA According to data obtained under an FOI request by Duff & Phelps, approximately one-fifth of all UK fund managers are guilty of making errors in their transaction reporting to the Financial...
ESMA Updates Q&A On Investor Protection
ESMA Updates Q&As on MiFID II and MiFIR Investor Protection & Intermediaries ESMA has updated its questions and answers on the implementation of investor protection topics under the Markets in Financial Instruments Directive and Regulation....
LME Requests Six-Month Delay to Telephone Trading Compliance
LME Requests Six-Month Delay to Telephone Trading Compliance The London Metal Exchange (LME) has stated that it will take an extra six months to ensure that trades made via telephone are compliant with new transparency requirements implemented as...