As regulatory enforcement action accelerates, Investment Banks are under increasing scrutiny to demonstrate that their compliance processes are watertight. eflow’s technology enables them to implement stringent regulatory controls while driving cross-departmental efficiency.
Investment banks, due to their role in executing large-scale trades, capital raising, and advisory services, are under intense scrutiny from global regulators such as the SEC, FINRA, FCA, and ESMA. Under Dodd-Frank, Volcker Rule, and MiFID II, they are required to have comprehensive surveillance systems to monitor for market abuse.
eflow’s technology is trusted by some of the world’s most prestigious financial institutions to manage and streamline their compliance processes in line with regulatory expectations, while also reducing the operational burden on their teams.
Our digital tools can be configured for different client types, asset classes and jurisdictions, while advanced case management tools enhance communications between teams.
Ensure effective surveillance across different asset classes and client profiles, regardless of complexity – all managed through eflow’s integrated regulatory solutions.
Improve data sharing and communications between compliance, risk, and legal teams through eflow’s case management functionality, streamlining investigations and resolving issues transparently.
Integrate all relevant data sources - including internal trade data, market feeds and real-time news - into a single regulatory platform for a holistic view of potential regulatory risk.
Configure workflows, users, and reporting to match different client types and regulatory needs.
"The eflow team has been very supportive throughout the process, from onboarding through to ongoing customer support. They took the time to get to know our business and the specific challenges that we faced, and were able to present solutions that directly responded to those pain points. This collaborative approach quickly established the credibility of their team and helped to build our trust in them."
Scalable, end-to-end regulatory solutions that can be configured precisely and deployed rapidly.
Simplify, streamline and strengthen your trade surveillance through the most flexible and feature-rich solution available.
Multi-channel eComms monitoring and archiving, revealing the intent and context surrounding every trade.
Demonstrate compliance with Best Execution legislation and uncover commercial insights.
Centralises and automates all transaction reporting, from EMIR and MiFIR reporting to robust error handling and submission processes.
