1. 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
Top5
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 howTruphone 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, †
£472.3million
Total regulatory fines
issued in 2013 by the
UK (FCA)3, 4, †
£4m fine
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 FCPAAct1
.”
“
+35%
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