MiFID II: Capture; Reveal; Respond
2018’s calendar of financial activity is already looking very busy, but for a large number of industry practitioners there is one date writ large. 3rd January 2018 sees the European Union’s (EU) revised Markets in Financial Instruments Directive 2014/65/EU, known as MiFID II, come into force. At the heart of the new regulations, the first…
K1 Combines Actiance and Smarsh to Create Global Compliance and Enterprise Information Archiving Leader
Los Angeles, Calif., Portland, Ore. and Redwood City, Calif. – November 15, 2017 – K1 Investment Management today announced the acquisition of Actiance, a pioneer in communications compliance, archiving, and analytics. Pending regulatory approval from government authorities, Actiance will combine with Smarsh, which provides comprehensive archiving solutions for compliance, e-discovery and risk management, creating the clear,…
100 days to MiFID II: are you ready to record?
This week marks 100 days until Europe’s banks, brokers, asset managers and the wider financial advisory community have to implement the much-vaunted MiFID II directive. The current MiFID regulations date back to 2004, but are being revised to improve the functioning of financial markets following the financial crisis of a decade ago, while further strengthening…
Smarsh Executive to Speak at Navigating the Maze of MiFID II Conference
PORTLAND, Ore., September 14, 2017 – Smarsh®, providing information archiving solutions for compliance, e-discovery and risk management, today announced that Marianna Shafir, Corporate Counsel and Regulatory Advisor, will be speaking at the Navigating the Maze of MiFID II conference, presented by the Financial Technologies Forum (FTF). Shafir will be participating on a panel, “MiFID…
Preparing for MiFID II and its global impact with help from industry experts
Global market participants are racing to meet the 2018 deadline for Financial Instruments Directive (MiFID II). Beyond Europe, the market reforms are hitting home for U.S. financial markets, vendors, and financial services firms, which are overhauling operations and IT infrastructures. Marianna Shafir—Smarsh Corporate Counsel and Regulatory Advisor—will participate in a panel during the Navigating the…
Smarsh Helps Financial Organisations Meet MiFID II Requirements
Voice archiving is critical to MiFID II compliance On 3 January 2018, Europe will see MiFID II and MiFIR come into place. With core principles focused on fairer, safer and more efficient markets, this is a significant piece of legislation. The MiFID II directive impacts financial services firms that operate and/or do business with European…
Smarsh®, providing information archiving solutions for compliance, e-discovery and risk management, has completed the acquisition of Cognia
LONDON, August 17, 2017 – Smarsh®, providing information archiving solutions for compliance, e-discovery and risk management, has completed the acquisition of Cognia, a worldwide leader in cloud-based voice archiving, audio search and analytics. Smarsh will leverage Cognia’s intellectual property and development resources to offer its global customer base enhanced capabilities around mobile and fixed-line…
Smarsh helps businesses get MiFID II ready
Step-by-step guide to expanded governance New white paper series outlines expanded voice and electronic communications recordkeeping rules Data archiving specialist, Smarsh, is urging UK businesses to start preparing now for the advent of MiFID (Markets in Financial Instruments Directive) II ahead of its implementation on 3 January 2018. To help businesses better understand their new…
FCA Fines Broker £1 Million for Poor Surveillance of Potential Insider Trading
Last month, the Financial Conduct Authority (FCA) fined a UK brokerage firm just over one million pounds ($1.4 million) for poor market abuse controls and failing to report suspicious client transactions. The regulator said the UK broker had outsourced surveillance of trades on its venue to a US subsidiary, which failed to adequately design, test…
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