1. Making wealth managers ready as the MiFID II deadline approaches
Rodney Taylor, Business Development Director, Profile Software
The regulators have been clear in communicating the instruction that they expect best efforts to be made to comply with the fast approaching 3rd January 2018 deadline for MiFID II. Whilst an army of consultants have spent months explaining the challenges and interpreting the regulation, now is the time to move to the next phase if you have not already done so. For many wealth managers two years of work needs to be squeezed into the next six months. With such a tight deadline it is inevitable that choosing the right technology will be key to achieving the best outcome.
2. How MiFID II became political
Ollie Cadman, Head of Product & Strategy, EMEA, Vela Trading Technologies
3. INDATA President: How regulations like MIFID II drives innovation in asset management
Alara Basul, Reporter, bobsguide
INDATA is a leading industry provider of software, technology and services for buy-side firms. The company’s portfolio includes asset managers and boutique investment firms, varying in assets under management from $1bn to over $100bn across a variety of asset classes.
bobsguide sat down with Dave Csiki to discuss the asset management industry, implications of MiFID II, and how the financial services industry will be affected.
4. MiFID II: How the cloud can be used for compliance around customer records
Drew Nielsen,Chief Trust Officer, Druva
5. MiFID II: Meeting voice and archiving requirements
Robert Powell, Director of Compliance, IPC Systems
With MiFID II implementation high on financial firms’ agenda, there is going to be a major change in the way that trading communications are recorded and stored. Both mobile and electronic trading communications have increased significantly over the last few years, which is reflected in the new rules that extend the scope of communication recording and surveillance to include all types of interactions, including text, IM, email, mobile, and social media. This is an ever-growing challenge for financial firms who must capture data from all their regulated users involved in pre-, during and post-trade activities and include communications from far beyond the trader’s turret.
