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Tag: MiFID II
Teams Phone recording gaps put MiFID II compliance at risk
Regulated firms can record Teams Phone calls in a way that satisfies MiFID II and FCA recordkeeping rules, but only through a certified compliance...
The retention myth tripping up FinTech compliance teams
Communications compliance is no longer defined by a single rulebook. It is shaped by a patchwork of regimes, each built for a different market,...
The hidden cost of moving legacy voice records
Legacy voice recording platforms are quietly becoming one of the biggest hidden liabilities for regulated firms, only surfacing as a problem when a regulator...
Why culture alone won’t save firms from new FCA NFM rules
From 1 September 2026, the FCA Code of Conduct will extend to cover bullying, harassment and violence at every FCA-authorised organisation, dragging nearly 38,000...
Ctrl Alt secures Irish approval for regulated digital assets
Ctrl Alt, a tokenisation infrastructure provider focused on digital capital markets, has secured MiFID authorisation from the Central Bank of Ireland (CBI), strengthening its...
CBI review exposes gaps in MiFID compliance functions
Irish MiFID investment firms are under fresh regulatory pressure after the Central Bank of Ireland (CBI) published its Thematic Assessment of the compliance function...
Theta Lake earns FCA AI Lab spotlight for compliance
Artificial intelligence is fundamentally reshaping how financial services firms operate, and with that shift comes mounting pressure to ensure adoption remains safe, responsible, and...
The hidden control gaps in MiFIR transaction reporting
Transaction reporting under MiFIR was never designed to be a box-ticking exercise. Its purpose has always been to support the detection and investigation of...
The compliance gap AI is finally positioned to close
Financial institutions collectively pour more than $300bn into compliance every year. That figure, drawn from research spanning global banking, insurance and asset management, has...
Why your archive vendor may fail when regulators ask
Archive modernisation has quietly become one of the most fiercely contested categories in regulated communications. A year ago, "archive" was little more than a...
