MiFID II: Setting a Mobile Policy for Compliance and Trading Business 

Financial institutions have long been aware of the compliance issues around e-comms and trading room voice recording – particularly as they apply to financial crime. But fewer understand how the new MiFID II requirements will impact their employees' use of mobile devices, according to a survey of a dozen communications and compliance executives at financial institutions conducted by A-Team Group's Intelligent Trading Technology. Financial institutions need to assess how the new provisions will affect them and their trading and investment status, and determine what mobile communications policy they implement.

This paper will address several key areas:

  • Global Implications
  • Communication 'Relating to' Orders
  • Key Mobile Management challenges
  • In-Network recording