Recording regulation by year Financial Supervisory Authority Norway 2009 Financial Conduct Authority UK 2010 Dodd-Frank Act US 2013 Financial Securities & Investments Financial Market Authority Switzerland Financial Market Supervisory Authority Japan Australia 2016 and beyond MIFID II EU 2015 Truphone Mobile Recording (TMR) Truphone Mobile Recording facts Mobile recording regulations are going global From Norway to Australia, more and more countries are introducing recording regulation. Regulation is moving from being local to global. Truphone Mobile Recording In-network recording on any device, anywhere. Global compliance to meet your needs. Trusted by 5 of the world’s largest investment banks Top 5 Of all calls were made when roaming 20% Global customers 100+ Recorded each month 200,000 texts 250,000 calls Recorded each month Global compliance. Global productivity. Find out how Truphone Mobile Recording can help you comply globally. truphone.com/tmr Sources 1 http://www.navigant.com/~/media/WWW/Site/Insights/Financial%20Services/DI_SECReportsIncreaseInFCPATipsAndComplaints_TL_0114.ashx 2 http://www.economonitor.com/blog/2014/01/the-king-is-dead-the-cftc-limps-on/ 3 http://www.independent.co.uk/news/business/news/the-fca-racks-up-a-record-total-of-472m-in-fines-in-its-first-year-9025378.html 4 http://www.freshfields.com/en/news/2013_sees_FCA_fines_soar_but_total_case_numbers_drop_as_big-ticket_cases_eat_into_resource/?LanguageId=2057 † Total regulatory fines issued – An estimate of total fines for market abuse. This is NOT fines for mobile recording, but showing a general trend in increased fines $1.7 billion Total regulatory fines issued in 2013 by the US (DFA-CFTC) 2, † £472.3 million Total regulatory fines issued in 2013 by the UK (FCA) 3, 4, † £4m fi ne Winterflood Securities: Traders communicated with brokers via mobile phones without trades being recorded.” Finextra “ Whistleblowers Securities and Exchange Commission: Notified congress Tip-offs increased 35% from 2012-13 relating to the FCPA Act 1 .” “ +35% Search and analyse your recordings
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Recording regulation by year
FinancialSupervisory Authority
Norway
2009
FinancialConduct Authority
UK
2010
Dodd-Frank Act
US
2013
FinancialSecurities &Investments
FinancialMarketAuthority
SwitzerlandFinancialMarket Supervisory Authority
Japan Australia
2016 and beyond
MIFID IIEU
2015
Truphone Mobile Recording (TMR)
Truphone Mobile Recording facts
Mobile recording regulations are going globalFrom Norway to Australia, more and more countries are introducing recording regulation. Regulation is moving from being local to global.
Truphone Mobile RecordingIn-network recording on any device, anywhere. Global compliance to meet your needs.
Trusted by 5 of the world’s largest investment banks
Top 5Of all calls were made when roaming
20%
Global customers
100+Recorded each month
200,000texts
250,000calls Recorded each month
Global compliance. Global productivity.
Find out how Truphone Mobile Recording can help you comply globally. truphone.com/tmr
Sources 1 http://www.navigant.com/~/media/WWW/Site/Insights/Financial%20Services/DI_SECReportsIncreaseInFCPATipsAndComplaints_TL_0114.ashx2 http://www.economonitor.com/blog/2014/01/the-king-is-dead-the-cftc-limps-on/3 http://www.independent.co.uk/news/business/news/the-fca-racks-up-a-record-total-of-472m-in-fines-in-its-first-year-9025378.html4 http://www.freshfields.com/en/news/2013_sees_FCA_fines_soar_but_total_case_numbers_drop_as_big-ticket_cases_eat_into_resource/?LanguageId=2057† Total regulatory fines issued – An estimate of total fines for market abuse. This is NOT fines for mobile recording, but showing a general trend in increased fines
$1.7 billionTotal regulatory fines issued in 2013 by the US (DFA-CFTC)2, †
£472.3 millionTotal regulatory fines issued in 2013 by the UK (FCA)3, 4, †
£4m fineWinterflood Securities: Traders communicated with brokers via mobile phones without trades being recorded.”Finextra
“
WhistleblowersSecurities and Exchange Commission: Notified congress Tip-offs increased 35% from 2012-13 relating to the FCPA Act1.”
“+35%
Search and analyse your recordings
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