Regulations are changing quickly and getting more complex. Many firms are finding it difficult to interpret the new requirements, including Dodd-Frank, EMIR, and MiFID, and are concerned about their ability to stay compliant.
How will your firm keep pace with the changes to stay compliant and stay profitable?
When regulators show up you need to be able to respond immediately to audits or investigations and provide guaranteed recording and retention evidence. This means your trades need to be reconstructed and documented pre- and post-trade across all modes of communication. Communications must be consistently monitored for potential irregularities and misconduct, and call recordings retained in searchable format for a period of one year or more. Ensuring your technology platforms are sound underpins your compliance strategy.