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Record keeping obligations require immediate reconstruction, whether or not the trade occurred.
Many transactions begin as enquiries prior to trade-entry and all relevant communications need to be captured.
Relevant internal and external communications need to be encapsulated, regardless of source.
Perfectly designed to integrate and enhance workflow so traders and investment managers can get back to doing business.
Let us you how the CCM can enhance your record keeping,
reduce ops risk and extend your analytics.
Get more information, now.
An investment firm shall arrange for records to be kept of all services, activities and transactions undertaken by it which shall be sufficient to enable the competent authority to fulfil its supervisory tasks and to perform the enforcement actions under this directive.
ESMA's Technical Advice to the Commission on MiFID II and MiFIR