/mifid-ii-hub/

MiFID II Compliance

Countdown to MiFID II: Are You Ready?

Actiance has helped some of the largest global financial institutions with their MiFID II compliance needs.

Countdown to MiFID II
2018-01-01 00:00:00
5
Weeks
5
Days
6
Hours
42
Minutes

Meeting the MiFID II Directive

Actiance has the expertise to ensure that you meet your MiFID II obligations

Article 16:
Record Keeping

Take reasonable steps to avoid electronic communications that cannot be captured. All communications must be stored for 5-7 years

Solution    

Article 16:
Record Keeping

How Actiance Can Help

Actiance Vantage provides context-aware record capture of 80+ communications channels, including voice, email, social media, unified communications, and partner connectors to capture 3rd party applications. Actiance Alcatraz includes granular policy management to ensure the retention of all communications leading to a trade. Learn More

Article 16:
Voice Capture

Records must include the recording of telephone conversations that relate to the reception, transmission, and execution of client trade orders

Solution    

Article 16:
Voice Capture

How Actiance can help

Actiance enables real-time capture and archive of voice communications delivered across platforms - natively and with best-of-breed partners Learn More

Article 24:
Investor Protection

Prioritize investor protection with communications that are fair, clear, and not misleading

Solution    

Article 24:
Investor Protection

How Actiance Can Help

Investor transparency is supported by a communications trail maintained within Alcatraz that can feed best-of-breed trade reconstruction applications via the Actiance API. Learn More

Article 16:
Supervision

Establish policies & procedures to ensure compliance with all MiFID II directives

Solution    

Article 16:
Supervision

How Actiance Can Help

Alcatraz provides robust supervisory review to demonstrate effective oversight and control over a firm's communications by reviewing the conversational context of communications occurring within and across 80+ communications channels. Learn More

Article 31:
Trade Reconstruction

Records should be kept of all communications for reconciliation with trade orders

Solution    

Article 31:
Trade Reconstruction

How Actiance Can Help

Actiance Alcatraz provides full APIs to feed trade reconstruction tools to marry communications with financial transactions, enabling greater compliance efficiency. Learn More

Article 16:
Retention and Storage

Ensure communications are stored to minimize the risk of data corruption, unauthorized access, and data loss

Solution    

Article 16:
Retention and Storage

How Actiance Can Help

Actiance Alcatraz has unsurpassed data protection with tamper-proof, WORM-compliant storage and multi-layered data security controls, backed by SSAE-16 SOC II certification. Learn More

Webinars

 
 
  • WebinarSep 21, 2017
    MiFID II Readiness – All You Need to Know About Trade Reconstruction
  • WebinarMar 29, 2016
    Meeting MiFID II Requirements with Actiance

US active managers are also increasingly being dragged into the new European rules that force funds to restructure the way they obtain investment ideas and procure research with 76% of US managers expecting to be impacted by MiFID 2

Tabb group, Trading study 2017

Speak to a MIFID II Expert

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