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Today, MiFID II is undoubtedly the main point of focus for financial services providers. Coming into force on January the 3rd 2018, every MiFID responsible compliance officer or project manager is sup...
As a financial technology broker, we have the privilege of operating in the heart of the financial technology eco-system. From this position we observe a quite odd but stunning anomaly within financia...
For firms still procrastinating about finalising their plans to accommodate the changes required to capture, archive, and easily retrieve electronic communications (eComms) in accordance with MiFID II...
Those of us who remember the good old days will recall the industry debate as to how much dark liquidity was really in existence. In one corner were the exchanges who, through FESE, claimed that the a...
In part one, I talked about the time synchronisation requirements coming into effect with regulations like MiFID II. Today I’d like to delve into some of the challenges that await us in tackling the...
I'm a movie lover. I've seen more than the average person and can re-watch the same film hundreds of times (I'm looking at you Star Wars, Jaws, Ghostbusters…). When you watch a lot of movies you star...
North American broker-dealers and asset managers domiciled in the U.S. are watching their European counterparts gear up for compliance with MiFID II. But will MiFID II affect U.S. broker-dealers and a...
With less than a year to go until the application of MiFID II, it is becoming increasingly clear that cultural change is being pursued by the financial regulators as a pressure mechanism to achieve sy...
Thomas the crossing network wasn't happy. For years he had enjoyed helping his friends buy and sell things amongst themselves. Sometimes he would even step in directly and agree to buy or sell somethi...
At the forefront of Regulation AT has been a discussion on CFTC access to source code. That issue has been fought with strong opinions on both side of the argument. Regardless of any regulations, what...
The flip-side of changing market structures, furtherance of technologies and evolution of investment services is the emergence of risks hitherto unknown. Regulatory response to these challenges transl...
Earlier this year the FCA introduced new guidelines to encourage firms to embrace the cloud. While compliance obligations remain paramount, it does open up the pathway for organisations to more effect...