An essential guide to capturing social media communications for FinServ
An essential guide into the most effective way to implement social media capture and monitoring solutions that comply with the rules and regulations set out.
Reporting requirements
Depending on the regulation, reporting requirements can have your firm feeling like they’re bending over backwards to meet compliance demands. ‘Disclose suspicious transactions’, ‘register Beneficial Ownership information’, ‘present employee diversity figures’ … the list goes on.
Regulators drop their mics in their quest to preserve voice comms
As regulatory scrutiny increases around voice capture, it is essential that financial services adopt voice surveillance solutions to prevent market abuse and non-financial misconduct.
MiFID II and MiFIR: Key differences and similarities
The Markets in Financial Instruments Regulation (MiFIR) and the second Markets in Financial Instruments Directive (MiFID II) work in tandem to regulate financial instruments in the European Union (EU).