Whitepapers

The dealing room environment within financial institutions remains the focal point where the prevention of insider dealing and other fraudulent activities concentrates the minds of regulators and compliance officers. However, since the explosion of the use of mobile telephones as a tool for business there has been a widening black hole in communications security, due to the inability to record and control incoming and outgoing calls.

This Whitepaper examines the industry problem and attempts to identify solutions to an increasing problem.

To request your free copy of the whitepaper click here

SEPA moving against the tide - White paper

SEPA is fast moving towards its January 2008 implementation, or is it? At this very late stage there are some very serious obstacles still to overcome and despite plenty of media rhetoric SEPA appears to be heading for only partial success and is likely to fall well short of its original objectives.

This report examines the weaknesses in the SEPA project and highlights possible solutions that should be considered in the future for the implementation of future directives.

To request your free copy of the whitepaper click here

MiFID a market examination - White paper

As the aim of this white paper is to describe the many MiFID Client Classification impacts on regulated European financial services firms it has been necessary to make some assumptions. There is no finite way to comply with MiFID as much depends on the business descriptions, scope and range of many different types and size of Company that make up the domestic markets in the European Union. The white paper therefore deals in high level facts but raises questions that each type of regulated firm within a business sector should be able to answer. If not, this indicates a problem within the firm that requires urgent attention.

The whitepaper tries to promote ideas and possible solutions towards MiFID implementation and potential issues that may arise in a post MiFID market. It will also touch on related issues and MiFID articles concerning firm’s policies, suitability and appropriateness tests and try to tie these important components together to form a strategic business benefit as well to achieve compliance.

The summary and conclusions will attempt to steer the reader towards the technical solutions that are on offer and the strategic importance to the regulated firm of building long term planning into the compliance business model to address future regulatory changes.

The market regulators appear to be taking a pragmatic view of non MiFID compliance post November however, this tolerance will only be short lasting and regulated firms need to plan their business changes under MiFID and the necessary technology to demonstrate compliance. This white paper is therefore opportune in explaining some of the imperatives around client classifications.

To request your free copy of the whitepaper click here