Regulatory Compliance Solutions

Learn more about our regulatory compliance and regulatory reporting solutions. All our solutions come with free proof of concept. For more information, click the button below.

Global Regulatory Compatability

Our regulatory solutions cover the requirements of a number of global regulatory standards.

MiFID II/ MiFIR Compliance

Coverage for all of ESMA’s financial regulatory guidelines, including MiFID II, MiFIR, MAR, MAD II and RTS 27/RTS 28.

Workflow Management

Set up all users in your firm with permissions that suit their role and streamline your compliance workflow.

Preset and Bespoke Reports

Compile a wide range of ready-to-export reports, including RTS 27 and RTS 28 functionality.

Large Volume Data Handling

TZ can ingest and process extremely large volumes of data – millions of trades can be processed every day.

Immediate Access to Data

Reports can be compiled at any time and for any date range, allowing you to access all your data at the click of a button.

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.

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 a greater understanding of how some of the more...

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 Conduct Authority (FCA).  These errors have been...

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. On December 4th, the European Securities and...

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 part of MiFID II.  The European Securities and...

MiFID II Unbundling Relief Period Extended to 2023 by SEC

MiFID II Unbundling Relief Period Extended to 2023 by SEC The US Securities and Exchange Commission has granted a three-year extension to the MiFID II relief period for American firms. The SEC will allow US brokers to continue bundling execution and research payments for another three years. In...

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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