Regulatory changes brought about by MiFID II’s enactment on 3 January require firms to make comprehensive adjustments to a wide range of their policies and procedures. Given the magnitude of the changes, there remains a significant chance for overlooked gaps in compliance especially in a firm’s electronic communication controls.
This checklist will help whether you are still finalizing your compliance strategy or you just want to double check your current electronic communications procedures against the MiFID II requirements.
Smarsh offers a comprehensive MiFID II electronic communications compliance solution. The archiving platform from Smarsh covers the entire workflow needed to capture, search, retain, supervise, reconstruct and reproduce all the electronic and voice communications records required by MiFID II, from text messaging and telephone calls to email, social media and more.
Smarsh
Scalable for organizations of all sizes, the Smarsh platform provides customers with compliance built on confidence. It enables them to strategically future-proof as new communication channels are adopted, and to realize more insight and value from the data in their archive. Customers strengthen their compliance and e-discovery initiatives and benefit from the productive use of email, social media, mobile/text messaging, instant messaging and collaboration, web, and voice channels.
Smarsh serves a global client base that spans the top banks in North America and Europe, along with leading brokerage firms, insurers, and registered investment advisors. Smarsh also enables state and local government agencies to meet their public records and e-discovery requirements. For more information, visit www.smarsh.com.
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