01 August 2014

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Robert PowellEtrali Trading Solutions - London

Bringing Surveillance to Europe

26 June 2014  |  845 views  |  0  |  Recommends 0

Proposed investor protection requirements in Europe represent a seismic shift in the way that European regulated firms deal with records retention. European compliance officers are facing a raft of new proposals driven by MIFID II. These range from transparency and data publication through to investor protection mandates. Inside the investor prote...

TagsRisk & regulationInnovation
Robert PowellEtrali Trading Solutions - London

The changing mobile recording landscape

16 September 2013  |  1235 views  |  0  |  Recommends 0

With mobile and electronic communication fast exceeding the fixed line phone, the way we connect with each other is changing. Regulators have recognised this to be true within financial markets as well as everyday life and responded with updated rules requiring regulated firms to record all forms of communication and trading information. Under th...

TagsRisk & regulationInnovation
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