Enhance, streamline and strengthen your regulatory controls
Regulatory technology that evolves with your business
This is why we have engineered our solutions so that they can be configured around your organization's specific requirements. Not sure where to start? Our team of regulatory experts can draw on decades of experience to support you.
Browse the eflow blog for the latest US regulatory insights
Market conduct in the US: An evolving regulatory landscape
Blog
Over the last few years, the US regulatory landscape has been subject to a period of rapid and consistent change. Our latest blog explores the changes that have taken place at the SEC under the leadership of Gary Gensler and what these mean for the regulatory strategies of financial institutions.
SEC outlines reporting expectations after handing out record $6.4bn in regulatory penalties
News
2022 saw the SEC hand down a record level of fines to financial institutions that failed to meet their record keeping obligations. In response, the SEC’s Director of Enforcement recommended firms should “self-report, cooperate and remediate” to reduce the risk of market abuse going undetected. eflow’s highly configurable market abuse solutions have been designed for this very purpose.
How can firms adapt to the SEC’s clamp down on Best Execution?
News
Ever since the SEC published their Best Execution proposals in December 2022, firms have been under increasing pressure to demonstrate how they would demonstrate that they would achieve the best possible outcomes for their clients. eflow’s TZBE Best Execution solution enables firms to upload trade data, enrich it against 250 global exchanges, test against industry standard benchmarks, and run TCA reports on the results.
eflow named ‘Best buy-side market surveillance tool’ by Waters Technology
Awards
We were delighted to be named as a category winner in Waters Technology’s Buy-Side Technology Awards 2023. Our highly configurable regulatory reporting solutions were recognized in the ‘Best buy-side market surveillance tool/platform’ ahead of stiff competition from a variety of other platform vendors. The award is further validation of our market-leading regulatory technology which was selected by a panel of experienced industry specialists.
Trust eflow to mitigate your regulatory challenges
TZTS Trade Surveillance and Market Abuse
Automate the monitoring of your trades for over 40 forms of market abuse, regardless of asset class, to satisfy the requirements of financial regulators across the globe including the SEC and FINRA.
TZBE Best Execution
With financial institutions under increasing pressure to demonstrate their Best Execution procedures, eflow’s TZBE solution enables you to upload, enrich, test and report on trade data in an automated, efficient and robust way.
TZEC eComms Surveillance
eflow’s eComms Surveillance module uses machine learning to automatically detect suspicious keywords and phrases in your firm’s communications and links these messages to abusive or high-risk trades.
Trusted by more than 100 global financial institutions
Alex Phillips, Head of Compliance & MLRO