The Financial Regulations

MiFID II, MiFIR, GDPR & Dodd FRANK.

How Shield FC Addresses the Compliance Challenge


There has been widespread adoption of numerous communication (eComms) platforms used during the trade lifecycle. While these technologies have improved trader productivity and enhanced the bottom line, they have also increased exposure to market abuse and manipulation. Growing regulation, such as MiFID II, GDPR, MAR, Dodd Frank and FINRA, is enforcing record-keeping, data governance and best execution practices to combat the risks.

Financial institutions need to capture, archive and protect every single interaction for a prescribed period. Most firms are simply ticking the box with data typically stored and tagged in discrete archives relating to specific eComms types. Either for business reasons or regulatory investigations, firms need to have access to all relevant data to perform sequential reconstruction of trading events for a complete omni-channel communication chain, in a timely manner. Recreating this data flow can be extremely complex and inefficient if the data is stored across dispersed, fragmented archives.

The Answer


We believe financial institutions need to take a strategic approach that deals with these channels in a holistic way. They need a solution that enables them to handle the explosion in eComms as well as comply with ALL data management and communications regulation. This should be a single solution that oversees the entire communication network, seamlessly capturing data across existing eComms with the ability to easily add new eComms platforms at any time. It must automate the entire process and provide a single interface to enable comprehensive searches and support a compliance investigation.

This Solution is Shield FC

Learn more about the regulations