Countdown to MiFID II What You Need to Know

Oct 4th '17

Current MiFID regulations date back to 2004, but are being revised to improve the functioning of financial markets following the financial crisis of a decade ago, while further strengthening investor protection.


MiFID II brings a whole plethora of changes to bear for financial firms


With MiFID II starting in less than 100 days, firms around the globe are being forced to take a hard look at their electronic communications practices and assess how they align with the new regulations. A surprise to many is that MiFID II requires firms to archive and supervise a wide range of telephone and electronic communications with clients, including information from personal computers, phones and tablets used in day-to-day work. There is still time to get one’s house in MiFID II order. In the latest blog, Smarsh MiFID II expert Ian Hook discusses the regulation and offers a four-step check point plan as a guide for those unsure of exactly how best to proceed.


Read more >>>


Source: Smarsh


How can we help!

At LS Consultancy, we offer a complete solution with a range of cost effective, compliance and marketing products and solutions including copy advice which are uniquely suited to supporting firms.


Explore our full range today