MiFID II extends the requirements of Best Execution across all asset classes while simultaneously establishing a greater number of venues to aggregate.

Execution venues, as well as market makers and SIs, must publish execution reports, as stipulated by the Regulatory Technical Standard (RTS) 27. Under RTS 28, buy-side investment firms must also publish execution reports.

Simply put, companies have to show who said what, where, and when, and to whom. With Soteria, we offer exactly that, capturing all business comms in real-time, delivering them back, and cross referencing them against market news, quotations, and trade executions.


GDPR comes into effect in May 2018 and will change the way your business can collect, use and transfer personal data.

Not only will you need to know where data is stored, you may also need to change the way it is collected. Additionally, subject access requests will have even shorter timescales as fines for non-compliance hit new levels.

Soteria can not only process all of your data capture, encryption and storage needs, more critically, it can efficiently control the data management and deletion of your records when required or requested, making you GDPR compliant.


The Market Abuse Regulation (MAR) aims to increase market integrity and investor protection, enhancing the attractiveness of securities markets for capital raising.

MAR strengthens the previous UK market abuse framework by extending its scope to new markets, new platforms and new behaviours. It contains prohibitions of insider dealing, unlawful disclosure of inside information and market manipulation, and provisions to prevent and detect these.

Soteria empowers enterprises to proactively monitor all communications in real-time, and enabling Market Abuse to be detected, as it happens.

Dodd-Frank Act

The Dodd-Frank Act regulates the USA’s financial markets and protects its consumers. Its eight components help prevent a repeat of the 2008 financial crisis.

It is the most comprehensive financial reform since the Glass-Steagall Act after the 1929 stock market crash, and is designed to promote greater transparency in the Financial Industry’s internal and external dealings.

In harnessing the power of Soteria, banks are now in a position to demonstrate transparency of previously stored and incoming data, in real-time, including the ability to globally represent requested Case Reconstructions within a one-hour timeframe.

FCA Mobile Recording

Under the FSA PS08/1 ruling, UK-based financial institutions must compliantly record all company communications from a mobile device.

In addition, all data including from a fixed-line phone, will need to be archived for a minimum of six months.

Soteria captures mobile calls and SMS with our network-based solution partner, Truphone, and our BYOD application-based solution partner, Venncomm, who can also convert SMS to IM, and offer conference calling.

All data is captured, encrypted and stored either in our secure cloud or on premise.



Global and Local Data Views

Built-in permission structures manage individual users views of globally stored data.



Powerful eDiscovery functions with wildcard, fuzzy, proximity and phrase keyword searching.


Keyword Alerting

Proactive email and SMS alerts notify users when keywords appear within a call or electronic communication.


Regulatory Case Reconstruction

Collate case data and send to a Regulator within one hour, without the objects leaving their jurisdiction.


Retention Policy Management

Set and manage multiple retention policies for individual users' data, depending on regulation and location.


Legal Hold

Protect your data that is in Legal Hold from being deleted, even if the retention policy covering it expires.

Empowering Industry, Defining Proactive Compliance

December 14, 2018 • Whitepaper

The FSI ‘Regulatory Alarm Test’

If the regulatory fire alarm sounded, would you be able to assemble all data in time, without getting burnt for late delivery, incomplete records, or substantial outside resource spend?


February 4, 2018 • Whitepaper

Soteria™: A Single SaaS Solution

All you need to know about Soteria™ and how it relieves your compliance, surveillance, risk, and business efficiency requirements in one solution.


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