Navigating & Automating Compliance
Educational Webinar Series addressing communication compliance and assurance pain points around expanding regulations, incl. Dodd-Frank, Code of Conduct, and MiFID II. Enter your contact details and get access to the Resource Center with Webinar Replays, Webinar Presentations, and many more useful downloadable information.
1. The Global Impact of New Regulations on Communication Compliance
JWG gives an in-depth update on the latest regulations, including Dodd-Frank, Code of Conduct, and now MiFID II, and their impact on communications compliance, and what it means for your firm. Dan Simpson is Head of Research for JWG, the trusted industry expert in regulatory intelligence, and has researched the impact of MiFID II and other EU trading regulation on the global marketplace. Also learn how NICE COMPASS can help your firm comply with all communications-related aspects of these regulations.
2. Achieving Recording System Assurance with Automated Recording Checks
Today’s regulations demand complete transparency and accept no excuse for ’lost calls’, even due to a technical glitch or failure. That’s why FSO’s employ small armies of employees to ’walk the floor’ and perform test calls and manual recording checks. But with new regulations (like MiFID II) requiring recording of more regulated users, across more asset classes, and mandating proof of compliance, a better approach is needed. See how NICE COMPASS addresses this problem through automated health checks that test every aspect of your communication and recording processes (and associated systems) for flawless performance.
3. Compliance Assurance Evidencing with Automated Reporting and Alerting
Regulations such as MiFID II with a global impact are also imposing new stricter reporting requirements on FSO’s which now need to provide evidence to regulators that communications for all regulated users are being reliably recorded and retained. Learn how NICE COMPASS’ automated compliance assurance reporting saves time, ensures compliance, and reduces the risk of fines, by providing a thorough, end-to-end reconciliation of the entire recording process across all regulated users.
4. Automating Call Extractions for Regulatory Investigations
When regulators request recordings, time is not on your side. Regulations, such as, Dodd-Frank, Code of Conduct and MiFID II all demand a rapid turnaround time, in some cases 72 hours. Compounding this, regulators may demand tens or hundreds of thousands of calls, spanning months or years. New regulations such as MiFID II will only expand the scope and frequency of such requests. See how NICE COMPASS’ advanced extraction capabilities can help your firm quickly identify, locate and retrieve complete trade conversations for regulatory investigations (millions of calls per day), in one simple step.
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