GDPR and MiFID II – clash or opportunity?

By Shiran Weitzman, CEO, Shield Financial Compliance
Building a data management blueprint
Compliance teams who are able to bring the upcoming General Data Protection Regulation (GDPR) together with the revised Markets in Financial Instruments Directive (MiFID II) will provide a sturdy yet flexible framework for data management within their firm.
MiFID II’s reporting requirements are notorious, for the breadth and depth of data they require firms to collect. The scale of the problem is characterised by the range of data types that […]

Shield FC launches new version of eComms Data Management Platform and Compliance Reporting Suite

LONDON, COPENHAGEN and TEL AVIV, Israel, March 27, 2018 /PRNewswire/ —
Robust data management and record-keeping platform automates all eComms data acquisition & correlation, and introduces extensive compliance and best-execution investigative facilities
Shield Financial Compliance (Shield FC), a specialist RegTech provider, unveils its next generation data management platform for capturing, archiving, analysing and investigating electronic communication (eComms) to meet the growing record-keeping, data governance and best execution requirements of financial firms.

MiFID II, GDPR, MAR, Dodd Frank and FINRA require financial institutions […]

Dodd Frank


Dodd-Frank Act

The Dodd-Frank Act makes the financial system more accountable and transparent, preventing financial institutions from becoming too big to fail, and stopping risky behavior. Not only US based financial institutions must comply with the Dodd-Frank Act, but also many non-US based Fis trading within the US. The Dodd-Frank Act specifically describes the communication channels that need to be recorded, as well as retention and retrieval rules.

§ 23.202 Daily trading records:

Swap dealers and major swap participants shall […]


General Data Protection Regulation


Privacy has become a major issue; that’s why the EU is introducing a game changing regulation covering personal private information. Any enterprise or business providing services to Europeans and collecting personal private information must comply with GDPR which will come into effect on May 25, 2018. Independent of where it is located in the world, if an organisation provides services to an EU citizen, it must comply with the GDPR requirements. Failure to do so can […]



MiFID II has changed the financial market in Europe by modifying trading rules and introducing new restrictions. The regulation affects not only EU banks and Financial Institutions, but every single financial organisation trading in the EU, including US, Asian and other foreign banks. Complying with MiFID II is complicated. EU financial institutions have invested substantial time and money to get prepared. However, it will take far more time and effort to fully comply. To help organisations […]

MiFID II is here but the regulators have only just got started

By Shiran Weitzman, CEO, Shield Financial Compliance
MiFID II may have come a little too quickly for some companies. Its scope, the slow pace of its formulation and the myriad interpretations of its applications and implications meant much of the EU’s financial services industry had to rush through changes to comply with it.
Many firms struggled to meet the January 3 deadline despite hundreds of City workers spending the Christmas break – their holiday leave cancelled – rushing to put processes […]

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