Regulatory Compliance Solutions

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regulatory compliance for modern markets

MiFID II, implemented by the European Securities and Markets Authority (ESMA), is designed to make financial markets more efficient and resilient. It focuses on improving transactional transparency, strengthening the protection of investors and preventing market abuse from occurring.

With around 30,000 pages of rules, the implementation of this new regulatory framework marks the biggest change to financial markets in a decade. While technically a European piece of legislation, MiFID II has fundamentally altered financial institutions around the world.

eflow remains at the forefront of the evolving regulatory landscape, with its proven framework for regulatory compliance. Stay on top of ESMA’s financial regulations with eflow.

key features

User-friendly regulatory systems

Workflow management

Bespoke settings and parameters

Immediate access to all data stored in TZ

Bespoke and preset reports

Global regulatory compatability

ESMA Updates Transparency Calculations For Equity And Equity-Like Instruments

ESMA Updates Results of Annual Transparency Calculations for Equity and Equity-Like Instruments On September 23rd, ESMA began to make available the updated annual transparency calculations for equity and equity-like instruments. ESMA has claimed that these updated results will account for and aim...

ESMA Calls for Report On MiFID II Inducements Disclosure Requirements

ESMA Calls For European Commission To Report On Impact of Inducements Disclosure Requirements Under MiFID II As stated in a press release published on July 17, the European Securities and Markets Authority (ESMA) has requested that the EC (European Commission) provide evidence of the impact...

Market Abuse, Insider Trading and the European Energy Market

Europe's Energy Regulators Tackle Market Abuse and Insider Trading In an attempt to increase investor protection and promote market integrity, a number of European energy regulators have joined together to tackle market abuse and insider trading in the European wholesale energy market. In the...

MiFID II Inducements: How Should You Handle Them?

Inducements Under MiFID II MiFID, the Markets in Financial Instruments Directive, is a fundamental part of the financial law in the European Union. It sets out standards for investment services and activities across the EU, although its influence stretches beyond European borders. Last year’s...

Trade Reporting vs Transaction Reporting: What’s the Difference?

Trade Reporting and Transaction Reporting Under MiFID II In January of 2018, the updated framework of Markets in Financial Instruments Directive (MiFID II) was rolled out, marking one of the biggest overhauls to Europe’s financial industry in decades. The new legislation, updated from 2007’s...

changes caused by mifid ii

MiFID II has significantly changed the financial landscape since it came into effect on January 3rd, 2018. The changes that ESMA outlined in this landmark piece of legislation are hugely wide-ranging. But, despite this, there are some core concepts that are common to most MiFID II regulations. Four of the biggest changes include:

These updated measures in MiFID II represent a major shift in the day-to-day practices of financial firms, with a greater focus on fintech.

To achieve regulatory compliance, a firm’s systems, organisational processes and tools will all need to meet strict new standards. It is particularly important that firms use fintech software that is specifically designed to meet the latest regulatory requirements: eflow’s regulatory compliance solutions are intended to do just that.

Two of the most pressing issues are transactional reporting and data storage. The updates made to transaction reporting will help regulators detect and prevent market abuse, offering increased protection to the client behind the transaction and anyone working on behalf of the client putting. But, to do this, regulators need a greater amount of detailed and accurate data from firms. Firms will also be required to store this data for a period of minimum five years – a significant increase from the current MiFID stipulation of six months.

Because of these changes, firms still using legacy systems have been put under pressure. Owing to their older procedures, they may not be able to handle the time-sensitive nature of regulatory reporting or the volume of data demanded.

With that in mind, eflow’s regulatory compliance solutions are a necessity for any firm hoping to keep on top of ESMA’s complex legislations. It is easy to implement and will cause minimal disruption to your firm’s pre-existing processes.

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