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Ensure Compliance with MiFID II & MiFIR Regulations

Achieve seamless adherence to MiFID II and MiFIR requirements with NICE Actimize's comprehensive solutions, designed to record communications, reconstruct trades, and detect potential market abuses.

MiFID II & MiFIR

The Markets in Financial Instruments Directive II (MiFID II) and the accompanying regulation (MiFIR) impose stringent requirements on financial institutions to enhance transparency and protect investors. NICE Actimize offers solutions like NTR-X and SURVEIL-X to help firms comply with these mandates.

NTR-X ensures the recording of all communications—voice, electronic, and mobile—of regulated employees, while SURVEIL-X provides holistic surveillance to detect behaviors relevant to market abuse. These tools enable firms to reconstruct trades accurately and respond promptly to regulatory inquiries, thereby mitigating risks and maintaining compliance.

Key Features of NICE Actimize's MiFID II Compliance Solutions

NTR-X Compliance Recording

Omnichannel Capture: Record all forms of communication, including voice, video, chat, and document sharing, across various platforms to ensure compliance with MiFID II's comprehensive recording requirements. NICE Systems+1NICE Systems+1
Centralized Management: Manage your global recording infrastructure from a single, centralized interface, simplifying compliance operations and ensuring consistency across regions.

2. SURVEIL-X Holistic Surveillance

Integrated Data Analysis: Analyze and correlate trade and communication data to detect potential market abuse and ensure adherence to MiFID II's market integrity provisions. NICE Systems
Trade Reconstruction: Reconstruct trades from all constituent communications and transactions, providing clear evidence of compliance during regulatory investigations. NICE Systems

3. Mobile Communication Compliance

Mobile Recording Solutions: Capture and monitor mobile communications, including calls and messages, to comply with MiFID II's requirements for mobile devices used in trading activities. NICE Systems
Secure Archiving: Ensure that all recorded mobile communications are securely stored and easily retrievable for compliance audits and investigations.

Ensure your organization's compliance with MiFID II & MiFIR by leveraging NICE Actimize's comprehensive compliance solutions.

Contact us to learn how our offerings can be tailored to meet your firm's specific regulatory requirements and enhance your compliance framework.