Browse our team’s thoughts and opinions on the latest news spanning transaction reporting, market abuse, trade surveillance and much more.
The Financial Industry Regulatory Authority (FINRA) has published its 2026 Annual Regulatory Oversight Report (the Report). Member firms are expected to incorporate relevant elements of the Report into their compliance programs in a way that reflects their specific activities and risk profiles. For market abuse, there are several noteworthy updates to FINRA’s commentary on manipulative trading, along with a new section covering the use of generative AI (GenAI) by member firms. In this blog, we focus on the key need-to-know developments.
After a record-breaking 2024, and a fast start to 2025, global enforcement actions finally slowed down in the second quarter. While the value of closed enforcement actions dropped, regulators remained active in other ways, with important signals emerging in the US regarding the priorities of this new administration.
FINRA’s Annual Conference in Washington, D.C., is a cornerstone event in the regulatory calendar - here are some of our key takeaways from the event.
The FCA has published a Portfolio Letter warning CFD brokers of critical regulatory risks.
The European Securities and Markets Authority (ESMA) and some national competent authorities (NCAs) have observed "high-volatility episodes" in EU equities shortly after pre-close calls.
The SEC enforced a record-breaking $8.2 billion in regulatory fines for the fiscal year 2024.
21X has chosen eflow’s holistic regulatory technology to power its compliance strategy as it creates Europe’s first DLT exchange infrastructure for crypto assets and security tokens.
Market Watch 75 puts focus on the market soundings procedure. The FCA shares its observations about developments around market soundings since the publication of Market Watch 51 and 58, and highlights the need for firms to adhere to regulations around the disclosure of inside information under the UK Market Abuse Regulation’s Market Soundings Regime.
Moving away from legacy, in-house compliance systems can be a painful process, but the need for cutting edge RegTech solutions is more pressing than ever. Here are some of the key considerations to keep in mind when making the switch.
TS Imagine, a leading global cross-asset provider of trading, portfolio, and risk management solutions for financial services organizations, is excited to unveil a strategic partnership with eflow, a prominent provider of regulatory compliance solutions for the industry.
Confused by the findings listed in the UK regulator's latest Market Watch newsletter? This article explains all.
RegTech scaleup eflow using investment to deliver regulatory compliance solutions to financial services industry, to fuel growth in the UK & internationally
Eflow Global and Portfolio BI solutions - discover regulatory solutions for end to end deal flow automation and compliance reporting automation
We discuss why it is now more important than ever for regulators to change their stance and begin to promote RegTech adoption May 3, 2021
