Firms within the financial services industry are required to Archive and Supervise Electronic Communications. The largely unstructured data set is constructed from a dizzying array of multi-channel communications between companies and individuals. These channels commonly include emails, Instant Messages (‘IM’), phone calls and Bloomberg messages.
A Firms day to day processes will involve multiple ‘Channel-switching’ interactions (starting a conversation in an IM, developing it in email and concluding it in a phone call). These interactions can be solely business related, personal or a mix of the two.
New emails arrive in inboxes and Instant Message group chats ping on a minute-by-minute basis. Incessant notifications and communications cover everything from a surprise Market move through to trying to reconcile a trade break at the end of a day.
Every message could potentially be part of a response to a Regulators Investigation in which your firm is involved.
We have developed a secure cloud based solution based on the requirements of the premier Regulatory Host ACA Mirabella
The Regulatory Framework ?
There are 3 key Rules from the FCA that you need to satisfy.
Is my Firm Likely to be Investigated?
It’s probably more common to be subject to investigation than you might think.