MiFID II: Anything your employees say or do (anywhere) can be used against you in court

WhatsApp conversations have to be recorded under MiFID II

WhatsApp conversations have to be recorded under MiFID II

It is no secret that global financial regulations are only getting tighter, writes Robert Cruz, director, information governance at IT security firm Actiance.

With legislation such as MiFID II gearing up to take effect, and the uncertainty surrounding Dodd-Frank in the US, the financial regulatory landscape for asset management companies in the UK is set to become even more complex in 2018. MiFID II blog: Industry progress as 2018 deadline approaches These new and evolving regulations will impact every aspect of the financial services industry - everything from trading to data recording to transparency around small operational details.  Compliance confusion  This changing regulatory landscape in the UK has brought up major compliance q...

To continue reading this article...

Join Investment Week

  • Unlimited access to real-time news, analysis and opinion from the investment industry, including the Sustainable Hub covering fund news from the ESG space
  • Get ahead of regulatory and technological changes affecting fund management
  • Important and breaking news stories selected by the editors delivered straight to your inbox each day
  • Weekly members-only newsletter with exclusive opinion pieces from leading industry experts
  • Be the first to hear about our extensive events schedule and awards programmes

Join now


Already an Investment Week


More on Regulation

Index providers have become “increasingly influential”.

SEC considering treating index providers as investment advisers

No longer 'data providers'

Elliot Gulliver-Needham
clock 17 June 2022 • 1 min read
JB Beckett

JB Beckett: Competition and the future of financial services

Not such a 'British Bang'

JB Beckett
clock 16 June 2022 • 4 min read
MPs said that there will be opportunities to seek regulatory simplification while being mindful of continued compliance with global standards.

MPs warn government against weakening of financial regulation standards

Opportunities for simplification

clock 15 June 2022 • 2 min read