The Aleph Archives Platform helps firms meet the requirements set forth from regulatory bodies including the FCA (Financial Conduct Authority), ESMA (European Securities and Markets Authority), FINRA (Financial Industry Regulatory Authority) and SEC (Securities and Exchange Commission).
Our archiving and monitoring solutions facilitate compliance with legislation covering financial promotions, digital communications, record-keeping, consumer protection, and MiFID II.
"(1) A firm must ensure that a communication or a financial promotion is fair, clear and not misleading."
"(1) A firm must make an adequate record of any financial promotion it communicates or approves, other than a financial promotion made in the course of a personal visit, telephone conversation or other interactive dialogue."
European Guidance on the Consumer Protection from Unfair Trading Regulations clarifies the scope of a compliant communication.
"An investment firm shall establish adequate policies and procedures sufficient to ensure compliance of the firm including its managers, employees and tied agents with its obligations under this Directive as well as appropriate rules governing personal transactions by such persons."
"...An investment firm shall have sound administrative and accounting procedures, internal control mechanisms, effective procedures for risk assessment, and effective control and safeguard arrangements for information processing systems..."
"An investment firm shall arrange for records to be kept of all services, activities and transactions undertaken by it which shall be sufficient to enable the competent authority to fulfil its supervisory tasks and to perform the enforcement actions..."
We believe that firms need to focus on their business while regulatory requirements are handled the right way. Partnering with Aleph Archives will lift the quality of your digital archives by safeguarding content in its native format that you can use at your convenience. We ensure that the "convenience" we are addressing is more of a high value rather than a marginal effect.
We provide and ensure service quality and performance at a high standard letting you appreciate the impact on Compliance and Legal procedures.
Our technology has been built to achieve an exhaustive capture of your Published Content regardless of channel type. We want to provide our Clients with a reliable, capable, and scalable Time Machine to manage and supervise their digital content. With the Aleph Archives Platform the ability to record, store, retrieve and export digital communications has never been easier.
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