Platform Compliance
Prove it.
We guarantee traceability, integrity and availability across all your communication recordings (voice, video and chat), in line with the regulations of every country you operate in: MiFID II/III, FCA, SEC, FINRA, CFTC, FINMA…
- Recording compliance
- Channels
- Voice · video · chat
- Framework
- Every regulation, by zone
- Archiving
- WORM · period set by your regulation
- Recorder
- Yours or ours
- Deployment
- On-premise · our cloud · your cloud · hybrid
Wherever you operate
Recording and retention obligations change from one jurisdiction to the next. Pick a zone: we configure your regulator’s checks and retention periods.
Regulations
- MiFID II / MiFIR Recording of communications relating to transactions and orders
- Delegated Regulation (EU) 2017/565 Recording and retention arrangements
- MAR Prevention and detection of market abuse
- Authorities
- AMF, ACPR, BaFin, CONSOB, CNMV, CSSF…
- Retention
- 5 years, up to 7 at the authority’s request
What we configure
Control rules, level 2 criteria and retention periods specific to each zone. One dashboard for all your entities.
Regulations
- FCA COBS 11.8 Recording of communications (UK MiFID)
- UK MAR Prevention and detection of market abuse
- Authorities
- FCA
- Retention
- 5 years, up to 7 at the FCA’s request
What we configure
Control rules, level 2 criteria and retention periods specific to each zone. One dashboard for all your entities.
Regulations
- SEC Rule 17a-4 Broker-dealer record retention
- FINRA Rules 3110 & 4511 Supervision and retention of communications
- CFTC Rules 1.31 & 1.35 Recording of oral communications relating to transactions
- Authorities
- SEC, FINRA, CFTC, NFA
- Retention
- 1 to 6 years depending on the rule
What we configure
Control rules, level 2 criteria and retention periods specific to each zone. One dashboard for all your entities.
Regulations
- FINMA Circular 2013/8 Market conduct rules: recording of trading conversations
- FinIA / FinSA Organisational and documentation duties
- Authorities
- FINMA
- Retention
- At least 2 years
What we configure
Control rules, level 2 criteria and retention periods specific to each zone. One dashboard for all your entities.
Regulations
- SFC Code of Conduct, § 3.9 Recording of client orders received by phone
- Authorities
- SFC
- Retention
- At least 6 months
What we configure
Control rules, level 2 criteria and retention periods specific to each zone. One dashboard for all your entities.
Regulations
- Singapore, Australia, Middle East, Africa… We take your local regulator’s requirements and turn them into checks.
- Authorities
- Your local regulator
- Retention
- As required locally
What we configure
Control rules, level 2 criteria and retention periods specific to each zone. One dashboard for all your entities.
Two levels of checks
Level 1 guarantees that your recordings exist and can be used. Level 2 builds on it to check what they contain. Together, they let you prove compliance, recording by recording.
The recording exists and can be used.
Level 1 answers a simple question: was every communication recorded, and can the recording be used? We match past communications against the recordings actually stored, then check that each one is audible and archived according to your retention rules.
A call with no recording, a silent file or an incomplete archive is flagged straight away, before an audit finds it.
- Every expected communication has its recording
- Recording losses identified and displayed
- Audio quality checked: audible, no silence
- Archiving and retention period verified
- Telecom
- Compliance L1
- Compliance L2
- Adoption
- Monitoring
- Teams
- IPC Turret
- Mobile
- Zoom
- Cisco
Your communications are recorded.
Can you prove it?
02 · Compliance · Level 1
Every recording is present, audible and archived. We prove it.
| Call | Present | Audible | Archived |
|---|---|---|---|
| 09:14:02 IPC Turret | ✓ | ✓ | ✓ |
| 09:14:37 Teams | ✓ | ! Inaudible | ✓ |
| 09:15:10 Mobile | ✓ | ✓ | ✓ |
| 09:15:48 Zoom | ✕ Missing | — | — |
| 09:16:21 Cisco | ✓ | ✓ | ✓ |
03 · Compliance · Level 2
We analyse their content to make sure they are compliant.
- OLT Hello, this call is being recorded.
- CLT Hello, Mr Martin, Alpha Asset Management.
- OLT I confirm the buy order on the OAT 2034…
- CLT …5,000 bonds at 102.40, immediate execution.
- OLT Noted, I guarantee you the best price. Promise of outcome
- OLT Confirmation sent by email.
- Recording notice 100
- Client identification 100
- Order details 96
- Sensitive terms 62
04 · Adoption
We measure how your telephony is actually used.
- Internal 58 %
- External 42 %
05 · Monitoring
We monitor your entire infrastructure: devices, network, call quality.
- MOS 4.3
- Jitter 12 ms
- Packet loss 0.4%
- Latency 38 ms
- Turret T-14 · offline
- Router R-PAR-03 · down
- SBC Paris-2 · high latency
06 · Telecom
Trading floor not equipped yet? We also provide trader voice and the recorder.
- Turrets
- Trader softphones
- Private wires
- Compliance
- Adoption
- Monitoring
All your communications. Proven.
open-lake.com
The content is compliant.
Level 2 goes further: it analyses what was said. Conversations are transcribed, then checked against your rules: recording notice, client identification, order details, sensitive terms.
Every call gets a compliance score. Your teams no longer replay everything: they focus on the flagged items.
- Transcription of conversations
- Regulatory checks: recording notice, identification, order details
- Sensitive term detection
- Compliance score per call and items to review
- Telecom
- Compliance L1
- Compliance L2
- Adoption
- Monitoring
- Teams
- IPC Turret
- Mobile
- Zoom
- Cisco
Your communications are recorded.
Can you prove it?
02 · Compliance · Level 1
Every recording is present, audible and archived. We prove it.
| Call | Present | Audible | Archived |
|---|---|---|---|
| 09:14:02 IPC Turret | ✓ | ✓ | ✓ |
| 09:14:37 Teams | ✓ | ! Inaudible | ✓ |
| 09:15:10 Mobile | ✓ | ✓ | ✓ |
| 09:15:48 Zoom | ✕ Missing | — | — |
| 09:16:21 Cisco | ✓ | ✓ | ✓ |
03 · Compliance · Level 2
We analyse their content to make sure they are compliant.
- OLT Hello, this call is being recorded.
- CLT Hello, Mr Martin, Alpha Asset Management.
- OLT I confirm the buy order on the OAT 2034…
- CLT …5,000 bonds at 102.40, immediate execution.
- OLT Noted, I guarantee you the best price. Promise of outcome
- OLT Confirmation sent by email.
- Recording notice 100
- Client identification 100
- Order details 96
- Sensitive terms 62
04 · Adoption
We measure how your telephony is actually used.
- Internal 58 %
- External 42 %
05 · Monitoring
We monitor your entire infrastructure: devices, network, call quality.
- MOS 4.3
- Jitter 12 ms
- Packet loss 0.4%
- Latency 38 ms
- Turret T-14 · offline
- Router R-PAR-03 · down
- SBC Paris-2 · high latency
06 · Telecom
Trading floor not equipped yet? We also provide trader voice and the recorder.
- Turrets
- Trader softphones
- Private wires
- Compliance
- Adoption
- Monitoring
All your communications. Proven.
open-lake.com
What you get
Full visibility over communication flows, fast and reliable audits, and automated controls over critical recording-quality requirements.
Lower operational and regulatory risk, no non-compliance discovered too late, and peace of mind for IT and compliance teams.
An outsourced, integrated service, so your teams stay focused on their core work.
Business benefits
What changes for your teams
- Compliance
Answer the regulator in hours, not weeks
Requested recordings are found, verified and delivered with their proof of integrity.
- Risk
Less exposure to sanctions
Gaps are detected and fixed as they happen, instead of being found during an inspection.
- Surveillance
Check more, replay less
Level 2 scoring points the review at the calls that carry risk.
- IT
One tool, whatever the recorder
You keep your systems; we consolidate the proof. No more manual checks platform by platform.
The other modules
If the regulator called tomorrow, would you be ready?
Tell us what you want to prove and which systems you use. We’ll tell you how we can help.
contact@open-lake.com