Regulatory Compliance Solutions for the Financial Services Industry

Across the globe, financial regulators are investigating how compliance teams manage the risk of communications on electronic communication platforms. Communications can be the first sign of potentially high-risk behaviour, and regulators want to ensure that firms are monitoring these interactions and linking them to abusive trading.

Our eComms solution automatically detects suspicious keywords and phrases in your firm's communications and links these messages to abusive or high-risk trades.

MiFID II states that “A firm must take all sufficient steps to obtain, when executing orders, the best possible results for its clients”. With these rules in place, firms need to demonstrate that they are always acting in the best interest of their clients.

With the ever-increasing variety of trading platforms, instruments and asset classes, doing this manually is no longer feasible.

Our Best Execution solution offers everything you need to comply with these requirements, including automated best execution testing, RTS 27 & 28 reporting, and sophisticated transaction cost analysis tools.

In April 2024, ESMA and the European Parliament will implement EMIR REFIT - a major update to the EMIR reporting regime. In the UK, the FCA will follow suit shortly after. This change is causing a lot of firms concern about how they will manage their changing regulatory obligations. We understand this concern, and have put in place a roadmap to ensure all eflow clients are helped through the entire switchover with no downtime, compliance gaps, or additional costs.