The GuardRec Blog | A blog for compliance officers in Bank & Finance

Webinar: How to ensure full compliance with the MiFID II recording requirements

Written by Joachim Thougaard | 10-Feb-2021 18:41:24


Webinar: How to ensure full compliance with the MiFID II recording requirements

Date and time: Replay on-demand

Are you uncertain about whether all customer dialog you are required to document is actually recorded and stored correctly?

Regulations such as MiFID II and Dodd-Frank requires investment firms to record all phone calls and electronic communication that can result in a trade. However, it can be extremly complicated to record everything you are required to across different solutions and devices.

In the webinar you will learn more about

  • The MiFID II recording requirements and why most investment firms are struggling to comply with it
  • 3 steps to follow to make sure all customer dialog is recorded and stored correctly according to MiFID II
  • How to save time on retrieving recordings and reconstruction of trade-related communication e.g, supervisions, risk-based controls, documentation of customer complaints, client access request etc

 

Register here

 

Presentation by
Joachim Thougaard, Sales manager at GuardREC AS

Duration
30 minutes

You can view this webinar from your computer, tablet or mobile phone.

 

 

About GuardREC
GuardREC is a Norwegian Reg Tech company providing leading recording and compliance solutions. The solutions are aimed towards international customers in Banking and Finance and Air Traffic Control. GuardREC has 20 years of experience in development and delivery of security-critical solutions. The recording solutions is specifically designed to help organizations comply with increasingly stringent legal and industrial requirements and regulations. GuardREC is a subsidiary of Hatteland Technology AS and a part of Embron Group.

 

Related topics
View full post