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Regulatory Voice WORKSHOPs

The MiFID 2 Voice Workshops are a bite-size look at the regulations and how they map to a potential operating model that will allow firms to demonstrate compliance with appropriate controls. So whether you are a firm worried about your telephony compliance or a company offering technology to support the regulations there is something for you.

Why?

Financial Services are under increasing scrutiny, driven by trading and technology control lapses laid bare through global media. This has seen record fines with conduct and transparency leading the areas of financial and reputational risk. Voice communications are more frequently referenced in litigation and are increasingly challenged by government bodies. Regulations are increasing in scope and depth with significant impact already being felt from the proposed MiFID II regulations and existing rules for the Senior Management Regime and Dodd-Frank.

Institutions need to navigate a complex architecture of people, processes and controls in order to ensure regulatory compliance, assure capture of voice communications, and reliably support legal investigations. The workshop will give you a clear summary of the regulations and approach in a bit-size workshop that can be tailored to your needs.

What will you get?

The workshops are run as half day event at our client’s premises. We prepare for the event using some simple Q&A templates for the attendees. The event will cover the following:

  •  MiFID II Voice Regulations Summarised
  •  An operating model framework
  • Linking regulations to the framework
  • Policy versus Technology
  • An effective policy outlined
  • Key processes and reporting (areas that the firm should focus on first)
  • Whiteboard session based on Q&A feedback
  • RED-e4 Demo Portal

Who?

  • Operations (IT)
  • Compliance (Regulatory)
  • Compliance (Conduct and Surveillance)
  • Legal eDIscovery
  • Senior Management
  • Voice Technology Vendors
  • Fin-Serv Consultancies