How MirrorWeb helps Financial Services Companies

Content Capture

Content Capture

Capture all content regardless of platform or technology in a legally admissible format.

Instant Replay

Instant Replay

Real-time replay of all captured content and metadata.

Exceed Regulator Requirements

Exceed Regulator Requirements

Archiving that exceeds MiFID II, FINRA, SEC and GDPR financial regulations.

Locally Stored Data and ISO Certified Solutions

Locally Stored Data and ISO Certified Solutions

All data archived in your jurisdiction to ISO standards.

MIFID II

Article 16

"Records shall include the recording of telephone conversations or electronic communications relating to, at least, transactions concluded when dealing on own account and the provision of client order services that relate to the reception, transmission and execution of client orders."

MiFID II Article 16 introduces new requirements for financial services firms to record all electronic communications with their clients - including information provided through websites and social media. Get a free trial archive from MirrorWeb and find out how we can help you become compliant.

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MIFID II

FINRA

10-06 & 11-39

Every firm that intends to communicate, or permit its associated persons to communicate, through social media sites must first ensure that it can retain records of those communications as required by Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 and NASD Rule 3110. SEC and FINRA rules require that for record retention purposes, the content of the communication is determinative and a broker-dealer must retain those electronic communications that relate to its "business as such".

FINRA

SEC

17a-4

Every member, broker and dealer subject to §240.17a-3 shall preserve for a period of not less than six years, the first two years in an easily accessible place, all records required to be made pursuant to paragraphs §240.17a-3(a)(1), (a)(2), (a)(3), (a)(5), (a)(21), (a)(22) and analogous records created pursuant to paragraph §240.17a-3(f).

US SEC
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MirrorWeb Archiving is a cloud native solution and we can have your service up and running within 24hrs. The sooner you act the safer you will be.

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Read our case studies

The National Archives

The National Archives

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The National Archives

Bank of England

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