MiFID II Compliant Communication Solutions - No More Compliance Headaches
Enabling Compliant, Secure, Transparent and easy to use Financial Communications
MiFID II threw a whole load of new red tape at the European financial landscape, forcing firms like yours to deal with super-tight communication policies, audit and transparency requirements. Let us help your investment firm, broker-dealer, or trading desk deal with these demands without disrupting workflows.
MailSPEC is a partner especially for compliance officers.Our products and services are built for compliance, for a secure, auditable and policy-governed communication infrastructure that fits in with your already existing systems and keeps all your data in sovereign control.
Everyday Scenarios Where MailSPEC Makes MiFID II Compliance a Breeze
1. Traders Chatting During Market Hours
No more WhatsApp or other personal chat apps that do not keep a record of what's going on - your traders use Pulse instead.
The on-deck AI policy engine sets what is sent to WORM-compliant storage
Role-based policies decide what gets sent to whom
Supervisors can grab a quick look at what's going on, either as it happens or later on
No more scattered chat logs or decisions made with hindsight, finally.
2. Sharing Research Notes with External Advisors
No more sending files via email attachments or risky cloud drives - you use PassLink instead.
Upload those research notes or client strategy docs to PassLink for compliance
The recipient has to authenticate before getting to see the file
The file link is only good for a certain time, and stays in Sovereign control
You can even require a receipt, terms and conditions or notices before anyone gets to see it
Working with external advisors has never been so smooth.
3. Storing Communications for Ages
Your firm needs to keep trader emails and docs for a good long while, so...
JACE adds policy meta data to your messages with WORM-compliant archival
Each message gets indexed and tagged, and is then stored encrypted and ready for fast retrieval
Role based access for audits or regulatory requests by ESCROW
No more scrambling to find the right records when the auditors come knocking.
4. Keeping an Eye on Trader Communications
Compliance officers want to have a look at chats or emails to check for any dodgy behavior.
Searchable logs available in JACE (Journaling, Archival, Compliance, and ESCROW)
Messages are tagged with the sender and recipient roles, as well as risk scores
Escalation alerts pop up for flagged conversations
No more overlooking potential problems because of too much work or not enough tools.
Why MiFID II Compliance Officers Choose MailSPEC
We are Compliance for Communications
MailSPEC solutions fit perfectly with MiFID II mandates, from start to finish:
Article 16(6): Keeping a record of all comms that lead to a transaction
RTS 6: Monitoring and record-keeping for algorithmic trading systems
ESMA…
Benefits for Compliance and IT Leaders
Seamless integration with Microsoft 365, Outlook, Oracle NetSuite and trading platforms
No need for user training - our UIs and encryption are invisible, so it just works
Private cloud deployment means full control over data residency and access
No third-party access or data scraping risk, ever.
Core Tools for MiFID II Compliance
EasyCrypt | Encrypted Email and Journing
Encrypts emails in transit and at rest
Integrates with Outlook and Office 365
Automatically archives emails for 5-7 years
We even tag metadata for transaction context
Pulse | Compliant Messaging for Traders
Slack-style chat with WORM-compliant archiving
AI-driven policy engine ensures no non-compliant language slips in
Supervisors can grab a look at what's going on, either in real-time or later
PassLink | Secure File Sharing with Access Logs
Encrypted file sharing for research notes, disclosures and the like
MFA required for access, with time-limited links
We track every single file access and sharing event in a pretty comprehensive audit trail
MailSPEC in Action: Solving MiFID II Compliance Headaches
Major Investment Firm
Uses MailSPEC to secure trader chat across multiple languages
Every single communication is archived and accessible to EU regulators
They even deployed JACE in an EU-based cloud to deal with data localization
Algorithmic Trading Desk
They journal emails and model changes with JACE
Role-based policies keep trading…
FAQs: MiFID II and MailSPEC
Can we lock in a 5-7 year retention period for communications?
Yes, absolutely! JACE enables WORM-compliant storage with configurable retention periods that absolutely align with MiFID II and ESMA guidance.
How does MailSPEC tackle off-channel communication risk?
Pulse blocks any non-compliant terms, restricts external chat, and gives you full audit logs - eliminating the need for tools like WhatsApp or SMS.
Is the data stored within the EU?
Yes, it is. MailSPEC technology is on-premises, and we partner with sovereign cloud providers of choice to make sure GDPR and MiFID II data residency requirements are fully met.
Can we easily conduct trade reconstruction or audits?
No worries at all! With JACE, all messages, emails, and files are indexed and timestamped for rapid, stress-free audit response.
Do users need to change how they work?
No way. MailSPEC integrates natively with Outlook, Microsoft Office 365, Oracle NetSuite, and trading tools, so compliance doesn't disrupt your workflows at all.