Regulatory changes brought about by MiFID II’s enactment on 3 January require firms to make comprehensive adjustments to a wide range of their policies and procedures. Given the magnitude of the changes, there remains a significant chance for overlooked gaps in compliance especially in a firm’s electronic communication controls.
This checklist will help whether you are still finalizing your compliance strategy or you just want to double check your current electronic communications procedures against the MiFID II requirements.
Smarsh offers a comprehensive MiFID II electronic communications compliance solution.
The Archiving Platform™ from Smarsh covers the entire workflow needed to capture, search, retain, supervise, reconstruct and reproduce all the electronic and voice communications records required by MiFID II, from text messaging and telephone calls to email, social media and more.