Browse our team’s thoughts and opinions on the latest news spanning transaction reporting, market abuse, trade surveillance and much more.
Complimentary audit service helps mid-market firms identify opportunities to consolidate vendors and reduce costs
eflow, a leading provider of regulatory compliance technology, has today announced the launch of PATH AI, a new AI-powered functionality integrated into its award-winning TZTS Trade Surveillance system.
No financial firm wants to face a regulatory audit unprepared, but in today’s increasingly complex landscape, regulatory audit preparation isn’t optional - it’s a strategic imperative. Whether it’s a full-scope review from the FCA, a focused inspection under MAR rules, or an unannounced inspection as part of a thematic review or enforcement action, the pressure to demonstrate airtight compliance is rising across the UK and EU.
Global financial services leader, Finalto, selected eflow after evaluating multiple providers, choosing its integrated regulatory technology to enhance operational efficiency and oversight across its trading operations
Contracts for Difference (CFDs) remain one of the most heavily scrutinised areas of retail trading. Regulators globally are sharpening their focus on the risks these products pose and the way firms manage them in practice. The themes are consistent: protect investors, prevent market abuse, and build operational resilience. In this blog, we break down how those priorities are playing out across supervision and what CFD brokers should be doing to stay ahead.
Advanced surveillance tool will empower firms to monitor crypto asset trading activity alongside traditional asset classes.
With billions in recent enforcement actions, the SEC and CFTC have made it clear: firms must identify and mitigate abuse proactively.
The Cyprus Securities and Exchange Commission (CySEC) is moving to significantly strengthen its sanctions enforcement regime, and CFD brokers are directly in scope.
Asia’s capital markets have grown significantly over the past decade and are now home to around 55% of the world’s listed companies, with a combined market capitalisation of $34 trillion USD. The subsequent surge in liquidity and trading activity creates more opportunities for institutional and retail investors. But, as trade volumes rise, so too does the risk of market abuse.
While cross-product manipulation is nothing new, cutting-edge technologies have created opportunities for this complex form of market abuse.
New functionality allows compliance teams to test and refine alert parameters in a risk-free replica of their trade surveillance system, addressing the industry’s ongoing false positive challenge.
Introduced in July 2016, the Market Abuse Regulation (MAR) replaced the Market Abuse Directive (MAD) to create a stronger, more uniform framework for tackling insider trading and market manipulation across EU financial markets
|-
New survey and report detail challenges faced by compliance executives as they try to keep abreast of evolving regulations and how they wish regulators could better support them.
New partnership will integrate DHI’s advanced AI tools into eflow’s market-leading trade surveillance technology to provide more accurate and efficient detection of market abuse risks.
The financial sector is full of regulatory complexities, and Fund Managers are no exception. As regulations become more stringent and data requirements grow more intricate, many are turning to technology to keep up with their regulatory obligations.
Hedge Funds have come under closer scrutiny from regulators as increasingly stringent regulatory requirements have been introduced. To address this, many are turning to technology to provide them with the tools needed to automate and streamline their compliance processes.
As manipulative trading activity grows in sophistication, many firms now face the need to investigate potentially suspicious behaviour that is no longer at the top of the order book, which is where an order book replay comes in.
Managing false positives effectively is a crucial element to any trade surveillance system. When incorrectly configured, these alerts can not only overwhelm compliance teams, but also increase the risk that truly manipulative behaviours go unnoticed.
eflow's Head of Surveillance Jonathan Dixon discusses the technologies shaping the future of regulatory technology
AMFI is rolling out new standards for institutional mechanisms to detect and deter market manipulation, including front-running and fraudulent transactions within AMCs.
The Indian regulator's latest circular implements strengthened controls around surveillance systems for Asset Management Companies (AMCs)
Brexit impact on market abuse regulation in the UK? This article explores how MAR is being incorporated into UK law following the UK's exit from European Union.
US regulatory enforcement leads globally in both the volume and severity of fines for market abuse.
eflow's recent participation in the FCA's Market Abuse Surveillance Tech Sprint highlights the important role that AI and machine learning will play in the future of financial regulation.
As financial markets grow ever more globalised, the need for cross-border trade surveillance is growing ever stronger.
The FCA’s latest Market Watch presents findings from a peer review of firms’ testing of automated surveillance models.
Protect your reputation & fulfil your regulatory obligations by identifying emerging threats & recognising the importance of market abuse surveillance systems.
The latest edition of Market Watch published by the Financial Conduct Authority (FCA) focuses on some of the most common failures of firms’ trade surveillance strategies. It also details the findings from the regulators’ recent peer review of firms’ testing of front-running surveillance models.
SEBI, the Indian financial regulator, has approved amendments to existing market abuse rules for Asset Management Companies (AMCs).
Borderless markets require borderless surveillance. Yet conducting trade surveillance across borders and addressing issues like cross-market spoofing presents several challenges.
A review of the FCA's latest Market Watch 77 and the key regulatory issues that financial firms need to consider
The FCA releases Market Watch 76 - eflow's team explains the key themes.
Is a third-party trade surveillance system right for you? Learn more about the pros and cons.
MiCA looks to regulate the notoriously tricky world of cryptocurrency. We break down the ins and outs of this new regulation and what firms trading crypto-assets need to know.
Since being nominated chair of the U.S. Securities and Exchange Commission, Gary Gensler has made it a priority to strengthen regulation over US firms. This approach beckons firms to rethink their strategies and bolster their compliance infrastructures.
Reporting errors & omissions continue to plague firms Take a look at difficulties highlighted in Market Watch 74 eflow Global’s transaction reporting tool offers solutions
Market abuse such as insider dealing, market manipulation, false or misleading disclosures, and the misuse of private, or ‘insider’ information. Market Watch 73
Market abuse can be broadly categorised into two main types: insider trading and market manipulation. Whats the next move for regulators? May 16, 2023
US financial regulator FINRA publishes 2023 Report - Examination & Risk Monitoring. Provides insight on manipulative trading - how firms can improve trade surveillance procedures
Associated risk of CFD trading. FCA’s requirements, outline 3-step strategy to regulatory enforcement. Firms to take explicit action to mitigate risk Dec 2, 2022
London-based broker Sigma Broking Limited has been fined £531,000 for failing to accurately report on 56,000 CFD transactions between Dec 2014 - Aug 2016.
What is trade surveillance? Trade surveillance is the process of monitoring financial transactions for potentially illegal or abusive trading.
The Maltese regulator MFSA has published a circular highlighting the obligations of regulated entities to prevent and detect market abuse
FCA has published 3-year strategy for period fr 2022 to 2025. Strategy outlines plans for implementing stricter regulatory standards. Apr 7, 2022
FCA announced holding a two-day 'CryptoSprint'. Aim of event is to explore 'how the evolving world of cryptoassets could be regulated within UK' Apr 6, 2022
UK RegTech vendor eflow Global has partnered with surveillance consultant GRSS to provide a holistic market abuse surveillance solution.
Crypto Market Integrity Coalition CMIC’s Public And Unequivocal Pledge to reduce abuse and manipulation of cryptocurrency markets - Feb 8, 2022
Financial Industry Regulatory Authority (FINRA) fined E*TRADE for failures in market abuse surveillance - 'not reasonably designed to achieve compliance
UK parliament has announced the formation of a cross-party group to discuss policy and regulation in the cryptocurrency industry.
Following HSBC's AML fines by the FCA equalling £64m last week, Standard Chartered has been fined £46.5m for reporting failures by the PRA.
The FCA has proposed changes to MAR and SFTR in their latest consultation paper.
Summary of the FCA's latest Market Watch 68 newsletter | Financial Conduct Authority concerns about web-based trading platforms and market abuse
Recent trend of strengthening measures against market abuse infringements, Irish Central Bank to increase trade surveillance measures and sanctions Jul 20, 2021
This article examines the most recent FCA market watch letter which displays a clear focus on market manipulation
We are proud to announce that we have won Best Trade Surveillance Solution at the 2021 A-Team Europe Awards
Recent rises in algorithmic or 'algo' trading, require regulation to change. Explore how regulators are responding to the rise in algorithmic trading Mar 2, 2021
In January 2021, GameStop became the subject of what some publications pitched as 'David and Goliath' battle between retail investors & hedge funds Feb 18, 2021
UK-based regulatory compliance firm eflow announce partnership with Refinitiv to further improve market data store currently in award winning Trade Surveillance platform TZ
FXCM selects Eflow and TZ to provide Market Abuse and Trade Surveillance
