Enhance, streamline and strengthen your regulatory controls

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.

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.

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.

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.