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Summary of SPOT inspections on recording telephone conversations and electronic communications and on retaining those recordings
Summary of SPOT inspections on recording telephone conversations and electronic communications and on retaining those recordings
As announced in the AMF’s supervision priorities for 2019, a series of short thematic “SPOT” inspections relating to recording telephone conversations and electronic communications and retaining them was carried out. The inspections were conducted under the provisions of Directive 2014/65/EU of 15 May 2014 on markets in financial instruments (“MiFID 2”), supplemented by Commission Delegated Regulation (EU) 2017/565 of 25 April 2016. The SPOT inspections involved a sample of five investment services providers (“ISPs”).
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