REGULATIONS
Regulatory Compliance
Virtually every business is governed by a series of crucial regulations, designed to preserve the safety and security of organizations and their customers. However, the compliance landscape is a diverse and varied space. The guidelines each business needs to follow can vary depending on the nature of their company and the industry in which it operates.
At Custodia, we help clients from a range of industries to navigate, understand, and manage the compliance requirements in their landscape, with access to tools for capturing and organizing critical data and information.
The Compliance Areas Our Clients Address with Custodia
Although compliance requirements can vary drastically from one sector to the next, most regulations have one crucial thing in common: a demand for effectively collecting, storing, and processing data.
As data management experts, Custodia can provide companies with the toolkit they need to sidestep the challenges and risks of the digital world, improve quality assurance, and adhere to the complex rules of their industry.
Our innovative compliance-first solution assists our clients in the following crucial areas:
Recording and Record Keeping
To comply with many legal regulations across industries, companies must consistently retain a clear record of critical data, and communications relevant to their operations. Recording and record keeping regulations define not only how companies should collect data, but how it should be stored, and how long it should be preserved in a database.
Custodia technologies can help companies remain compliant with record-keeping regulations like:
Created by the Security and Exchange Commission, Rule 17a-3 requires brokers and dealers in the financial landscape to create and preserve comprehensive records of all security trades. This includes copies of blotters, trade confirmations, account statements and cancelled checks.
SEC 17a-3
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MiFID II is a legislative framework implemented by the European Union, which requires businesses to maintain fully accountable records of trading interactions.
Regulatory bodies must be able to request near-instant access to information related to a range of trading activities. Every medium from voice data and mobile data must be logged for a minimum of 5-7 years.
MiFID 2
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Your monthly subscription gives you fantastic access to compliance recording and analytics services hosted in an infinitely scalable cloud environment. Choose from a range of proven processes and purpose-built tools to transform the provisioning process, and customize your deployment.
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A key regulation committed to the protection of customers since 2010, Dodd-Frank imposes significant penalties on corporations that fail to maintain accurate communication records. Like GDPR and MiFID ii, Dodd-Frank dictates how data should be managed in both US institutions, and global companies trading with US citizens.
To maintain compliance, firms must capture and keep records for a minimum of 5 years, and be able to provide information to regulators on-demand, within 72 hours of a request. As with all modern regulations, Dodd-Frank requires all forms of communications to be captured.
Dodd-Frank Act
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Market Abuse
Market Abuse laws address issues ranging from the unlawful disclosure of insider information to the manipulation of the financial markets. The “Market Abuse Regulation or “MAR”, highlights the information business leaders need to capture and monitor to track potential issues of market abuse. To comply with MAR today, organizations must ensure they’re capturing, recording, and monitoring every voice and data interaction.
Privacy Laws
Privacy laws around the globe provide companies with a set of rules to follow when it comes to managing, storing, and using personal information. They dictate what kind of data a company should be permitted to hold about a customer, client, or partner, as well as how that information should be regulated. Custodia services can help companies address laws such as:
GDPR requires companies to redefine the way they capture, process, and use personal information from any individual living within EU borders.
Companies must inform clients about the data being captured and ensure the right information is stored securely under all circumstances.
GDPR
Leverage our turnkey service to rapidly deploy CC1 technology throughout your entire ecosystem with no developers, specialist equipment, or engineers necessary.
Your monthly subscription gives you fantastic access to compliance recording and analytics services hosted in an infinitely scalable cloud environment. Choose from a range of proven processes and purpose-built tools to transform the provisioning process, and customize your deployment.
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Otherwise known as the EU-US Privacy Shield Framework, the EU-US Privacy Act was created by the European Commission and US department of Commerce, to outline the data protection requirements companies must follow when transferring personal data across borders.
EU-US Privacy Act
Leverage our turnkey service to rapidly deploy CC1 technology throughout your entire ecosystem with no developers, specialist equipment, or engineers necessary.
Your monthly subscription gives you fantastic access to compliance recording and analytics services hosted in an infinitely scalable cloud environment. Choose from a range of proven processes and purpose-built tools to transform the provisioning process, and customize your deployment.
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ISO/IEC 27001 is the international standard for information security introduced in 2013. This regulatory guideline establishes the guidelines companies around the globe must follow in order to protect and manage information within a business environment.
The ISO Framework requires companies to take specific steps to protect all forms of data, wherever they are, and increase their attack resilience across all vectors. In order to comply with these regulations, companies must implement the most effective security controls, respond to evolving threats, and demonstrate a commitment to collecting and securing data.
ISO/IEC 27001
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Financial Institution Compliance
Of all the diverse industries operating around the world today, the Financial Services sector is perhaps the most tightly regulated. Companies in the financial sector perform transactions and customer service operations across a range of different communication mediums, and can operate in various multinational environments where numerous regulations can be in effect. Custodia’s technology assists financial services companies in handling the challenges of:
SEC Regulations
The Security and Exchange Commission introduces and upholds a number of regulations related to the security and privacy of consumers throughout the United States. The SEC environment is home to a number of different divisions, covering everything from corporate finance to economic risk analysis, and the division of trading and markets.