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To date, the industry’s regulatory compliance focus for upcoming European MiFID II and Market Abuse Regulation (MAR) has been on issues including the structure of trading facilities, systematic internalisation, governance, best execution and time-stamping. MiFID II and MAR also contain provisions, however, increasing the requirements for recording and archiving voice communication related to securities trading. MiFID II adds a requirement to archive both mobile and fixed-line telephone calls, and ongoing monitoring of the effectiveness of their voice recording process.

Join the webinar to find out about:

  • Policies for mobile phone use and recording
  • Monitoring of collected records
  • Effectiveness of trading communication recording
  • Management oversight of recording
  • Retention of recordings
  • On-demand access to recordings for regulatory inquiries and audits

Speakers:

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Moderator: Michael Shashoua, Editor, A-Team Group

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Justin Nathan, Surveillance Technical Officer, Credit Suisse

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Paul Liesching, Global Head of Financial Markets, Truphone

More About Our Speakers:

Paul Liesching
Global Head of Financial Markets
Truphone

Paul is the Global Head of Financial Markets at Truphone. He is a sales and marketing specialist with a passion for bringing entrepreneurial flair, drive and leadership to organisations who are primed for significant growth through product and market innovation.

Sponsors:

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