27 October 2016


A Finextra Community Group

75Posts 311,828Views 46Comments

Latest blog posts

Cornelius NandyalAssociates in Capital Markets - London

Real-Time Risk Management: A View on MiFID II Compliance Challenges

13 October 2016  |  4979 views  |  0 comments | recommendations Recommends 0

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 translates into swift and expansive reforms to curb and mitigate systemic risks and to maintain market order. While these reforms will have an extensive i...

TagsRisk & regulation
Brian PerfectActiance - London

Archiving in the cloud: Expensive and less secure?

12 October 2016  |  3426 views  |  1 comments | recommendations Recommends 1

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 effectively comply with data communications regulations and lower overall costs. However, there are still fears in some quarters that archiving in the clou...

TagsRisk & regulation
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Tayloe Draughon
Tayloe DraughonNeurensic, Inc. - Chicago

Momentum Ignition: Arson for Financial Markets

13 September 2016  |  2788 views  |  0 comments | recommendations Recommends 0

ESMA has defined momentum ignition as a case of prohibited market manipulation. ICE Canada considers this to be disruptive, and so does the CME Group. One UK government report stated that momentum ig...

TagsRisk & regulationPost-trade & ops
Brian Perfect
Brian PerfectActiance - London

Does archiving increase risk?

07 September 2016  |  3388 views  |  0 comments | recommendations Recommends 0

MiFID II is putting archiving under the spotlight again as firms come to grips with being able to promptly recreate trades including all conversations, even if the transaction didn’t happen. Archivin...

TagsRisk & regulation
Brian Perfect
Brian PerfectActiance - London

Demonstrating Compliance of Investor Protection

05 August 2016  |  6451 views  |  0 comments | recommendations Recommends 0

MiFID II has a number of amendments pertaining to investor protection. Firms must act honestly, fairly, and professionally in accordance with the best interests of its clients and put their customers’...

TagsRisk & regulation
Brian Perfect
Brian PerfectActiance - London

MiFID II Check List - Is your data communications ready?

07 July 2016  |  4479 views  |  0 comments | recommendations Recommends 0

Regardless of the implications over Brexit, the spectre of MiFID II still remains. For some organisations, it will just require a strengthening of processes and procedures already in place to ensure c...

TagsRisk & regulation
John Cant
John CantMPI Europe Ltd - London

Will MiFID II bring Evolution or Revolution to investment research?

08 June 2016  |  6148 views  |  0 comments | recommendations Recommends 0

There has been significant discussion, and indeed some confusion, around the impact of MiFID II on investment research. Some investment firms, including M&G recently, have made announcements that ...

TagsTrade executionRisk & regulation
Cornelius Nandyal
Cornelius NandyalAssociates in Capital Markets - London

MiFID II - Commodity Derivatives Amendments - What's in a Change?

01 June 2016  |  4847 views  |  0 comments | recommendations Recommends 1

Introduced with the objective of fair competition and consumer protection in investment services, the MiFID II is grabbing headlines ever since its inception way back in 2011 - as a response to the gl...

TagsRisk & regulation
Brian Perfect
Brian PerfectActiance - London

Why Real-Time Archiving of Conversations is Essential for MiFID II

15 March 2016  |  5031 views  |  0 comments | recommendations Recommends 0

The deadline for enforcement may not be written in stone, but the countdown for MiFID II is on. As part of the new regulations, enterprises need to ensure that all records relating to client orders ar...

TagsRisk & regulation
Brian Perfect
Brian PerfectActiance - London

Don’t procrastinate with preservation

22 February 2016  |  3596 views  |  2 comments | recommendations Recommends 0

The deadline for MiFID II might be delayed, but financial organisations should be wary of putting off their plans to reinforce archiving of client communications. With every piece of litigation, the p...

TagsRisk & regulation
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Founded by Retired Member
Date 16 Feb 2007
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A place to discuss MiFID
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Cornelius Nandyal
Cornelius Nandyal

Partner at Associates in Capital Markets...

Brian Perfect
Brian Perfect

Responsible for Actiance's international...

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