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

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...

ESMA Launches Consultation Paper on Position Limits in Commodity Derivatives

ESMA Launches Consultation Paper on Position Limits and Position Management in Commodity Derivatives ESMA has launched a consultation paper intended to gather information on the ‘impact of position limits on liquidity, market abuse and orderly pricing and settlement conditions in commodity...

Communication Recording and MiFID II: How To Stay Compliant

MiFID II Communication Reporting: Stay Compliant As part of MiFID II’s aim to generate greater market transparency, firms are now required to record all voice communications which result in a transaction being completed. These requirements extend to include trades made by telephone, text, any kind...

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...

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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