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2018 (5)
Jonathan Wilson

Jonathan Wilson

Project Director at Cordium
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FCA’s Dear CEO Letter comes with Product Governance Implications

04 Apr 2018

In early January, all eyes were focused on the implementation of MiFID II. So the Financial Conduct Authority (FCA’s) Dear CEO letter on January 10 targeted at providers and distributors of Contracts for Difference (CFDs), may well have passed under most firms’ radars. Those that have little involvement with the CFD market may have perceived the


MiFID II Best Execution: A 10-point 'to-do' list for the next 12 months

07 Mar 2018

MiFID II’s “go live” date of 3 January 2018 is often thought of as a “big bang.” However, the new EU directive is less a one-off fireworks display and more like a series of fairly intense bushfires over the next year, for firms. Best execution, which comes with a series of rolling obligations and deadlines, is one area that will keep the trading de...


MiFID II: What are you missing? A Post-Implementation Checkpoint for Asset Managers

21 Feb 2018

After years of development, drafting, deliberation, debate, delay, denial and deferment, MiFID II is finally, for the most part, in effect. Buy-side firms now face the combined challenges of implementing those residual requirements that were not enacted on January 3, 2018. And, of course, ensuring that what has already been implemented achieves fu...


MiFIR Transaction Reporting for Asset Managers: The Impact of Increased Scrutiny

23 Jan 2018

Since the MiFIR transaction reporting regime came into force on 3 January, any investment firm that does not have a valid Legal Entity Identifier (LEI) may find it impossible to trade. That was the guidance issued in last November’s Market Watch[1] newsletter from the FCA. Although collective portfolio management investment (CPMI) firms[2] are ex...