Shield FC, Thomson Reuters and KPMG to Show How to Achieve Value from eComms Data Integration Beyond Regulatory Compliance

Shield Financial Compliance (Shield FC), a specialist RegTech provider, will be joined by Thomson Reuters and KPMG in London on 7th November, for an event to explain the value of integrating electronics communications (eComms) data into the wider trading ecosystem. The free-to-attend morning-only event is taking place at Thomson Reuters, Canary Wharf.
The event is being held to mark the launch of a new Financial Markets Insight Report published by The Realization Group entitled: ‘Capture, Correlate, Analyse: Deriving value from […]

Post Event Post: Adopt a Tactical, Strategic and Proactive Approach to Compliance

On Thursday 4th October, CEO, Shiran Weitzman was in London to showcase Shield FC’s Financial Compliance Hub at the A-Team Group’s RegTech Summit 2018.  The message that compliance requires a tactical, strategic and proactive approach clearly resonated with the audience of more than 100 senior representatives from major financial institutions, involved in regulatory change management, regulatory reporting, compliance, and investigations.
Shiran addressed current and future challenges surrounding proactive compliance including issues of measurement, control and oversight, end-to-end visibility of the […]

Filling in the Blanks: Supporting RegTech Innovation with Data

Since the launch of the UK Financial Conduct Authority’s regulatory sandbox in 2016, several other global regulators have followed suit in a bid to address some of the key issues around regulatory technology. And with the influx of new regulations continuing unabated, the need for innovative solutions to the challenges facing financial institutions has also never been more pressing. Yet while this need is widely recognised by not just the rising ‘RegTech’ sector but also by regulators and the […]

European Investment Firm Adopts Shield FC’s Automated Compliance Platform for Enhanced Regulatory Compliance and Customer Assurance

London, Copenhagen and Tel Aviv – July 24th 2018. Shield Financial Compliance (Shield FC), a specialist RegTech provider, is proud to announce that a leading European investment firm has purchased its fully automated compliance platform. Shield FC provides the firm with a centralised and holistic overview of all external and internal interactions, for regulatory compliance, greater efficiency and customer peace of mind.
Having recognised the significant market surveillance and compliance risk inherent in using multiple communications platforms across the trading […]

Shield FC Announces New Vice President Global Sales and Business Development

Eran Noam joins to support strategic company growth due to accelerating demand for regulatory compliance and best-execution solutions
London, Copenhagen and Tel Aviv – July 2nd 2018.  Shield Financial Compliance (Shield FC), a specialist RegTech provider, is delighted to announce that Eran Noam has joined the company as the VP Global Sales and Business Development. In this newly created role, Eran will focus on sales and strategic business alliances to support the growing interest from financial institutions in Shield […]

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 […]