Communication Compliance

How to prove your regulated users are being recorded

Second blog in a Blog Series on Compliance Assurance. In this blog we discuss the complexities around the second requirement of MiFID II which involves providing evidence of compliance and how NICE COMPASS can help banks to automate compliance assurance processes.

How to ensure to record the right communications

First blog in a Blog Series on Compliance Assurance. The changing regulatory landscape means that any and all communications around trades will need to be recorded, including the pre- and post-stage part of the trade, and including mobile phone recording. Are you ready for that?

Are you prepared for Communications Compliance?

10 Questions to ask to prepare for papidly expanding financial recording requirements, such as MiFID II, MAR, Dodd-Frank and Code of Conduct, that expand the scope of monitored employees, asset classes, communication channels, devices, and retention requirements.