What is the trading life cycle

Shield FC introduces new version of the eComms data management platform and compliance reporting suite

27.03.2018 – 18:27

Shield Financial Compliance (Shield FC)


Robust data management and filing platform automates the collection and correlation of data from electronic communications and introduces extensive investigative capabilities for compliance and best execution

Shield Financial Compliance (Shield FC), a specialist RegTech provider, unveils its next-generation data management platform for the capture, archiving, analysis and investigation of electronic communications (eComms) to meet the growing needs for record keeping, data governance and best execution of Meet financial companies.

MiFID II, GDPR, MAR, Dodd Frank and FINRA require financial institutions to record, protect and archive every single interaction for a prescribed period of time (5 to 7 years). In the case of an investigation, companies must perform a trade reconstruction of a complete omni-channel communication chain in a short period of time (3 to 5 days). Meeting these requirements can be challenging due to the widespread adoption of new communication technologies on various devices during the retail lifecycle and the complexities involved in reconstructing interactions from various eComms systems to the order management systems.

Shield V2.0 was specially developed to meet these requirements. It brings together all of the individually structured and unstructured eComms sources used throughout the lifecycle, including voice, email, instant messaging, market data chat, financial news, mobile, social media, and web to order management system data. Building on the platform already implemented around the world, this next generation solution aggregates and analyzes more data sources and delivers a new query engine to meet the specific needs of the compliance team; a correlated sequential view of trading events with fast, comprehensive and interactive timeline reporting in an intuitive front-end.

"We believe companies should take a strategic approach to regulating record keeping and best execution in a holistic way; a platform that will help them navigate the eComms explosion as well as streamline and tighten compliance operations Automation. Shield V2.0 delivers just that, "commented Shiran Weitzman, co-founder and CEO of ShieldFC. "It goes well beyond the current box check most companies use when they archive eComms data in separate silos, which is a huge problem when reconstructing trading events."

Shield V2.0 provides a highly efficient and effective single solution to seamlessly automate fast and accurate trade reconstruction, best execution evidence, compliance investigation and ongoing management oversight. Delivered via a fast and flexible modular deployment model and deployed in the cloud, on-premise or in a hybrid combination, Shield V2.0 simplifies technical complexities to enable efficient practices for work and compliance investigations.

About Shield FC

Shield FC is an enterprise data management platform that automates eComms record keeping and investigation compliance tasks. It enables regulated companies to capture, archive, analyze and investigate every single interaction in all eComms channels in a single solution, as required by regulatory provisions such as MiFID II, GDPR, MAR, Dodd Frank and FINRA as well as data governance -Standards will be prescribed - faster and more efficiently than ever before.

Press contact:

Melanie Budden
The Realization Group
[email protected]

Original content by: Shield Financial Compliance (Shield FC), transmitted by news aktuell