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A place to discuss MiFID
The European Securities and Markets Authority has introduced a new system that will classify Third Country Central Counterparties according to tiers. The tiers will be assigned to the CCPs according ...
I attended the Substantive Research Unbundling Uncovered MiFID research conference this week. The panels at this event were made up of a mix of market participants and vendors. The mix made for some e...
U.S. lawmakers authorized a study focusing on the provision of investment research for small issuers, a sign they are wary of the U.S. adopting the European Union’s MIFID II unbundling rules which hav...
Eighteen months after MiFID II rules to unbundle research payments from executions have been in force in Europe, U.S. asset managers are dealing with uncertainty around paying for research and how to ...
The new EU prudential regime for investment firms is expected to be published in the EU Official Journal towards October 2019 and to take effect around mid-2021. The regime introduces a tailored prude...
Today ESMA changed their mind on the share trading obligation (STO) in the event of a No-Deal Brexit. Under their new approach, any ISIN with the GB country code is now out of scope. Obviously, this ...
The evolving requirements of ESMA and Market Abuse Regulation (MAR) persuade Reporting Entities to strategize the reporting structure of a trade. Since MiFID II implementation, it is aiming at increas...
The European Commission is required to review MiFID 2 by March 2020. The German Finance Ministry kicked things off at the beginning of this year by inviting comments from the industry. Attending the ...
In the wake of another whopping FCA fine of £34.3m to Goldman Sachs last week, following the £27.6m UBS fine, are the bigger players ignoring the regulations? MiFID and MiFID II introduced more regula...
The prudential framework is a new rule book developed by the European Commission (EC) for investment firms. It is designed to be simpler and more proportionate to a firm’s operations. But with new rul...