26 July 2016

MiFID

A Finextra Community Group

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Latest blog posts

Brian PerfectActiance - London

MiFID II Check List - Is your data communications ready?

07 July 2016  |  3526 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 communications data is compliant. But for others such as commodity traders who are now no longer exempt, it’s a much larger remit. The five points bel...

TagsRisk & regulation
John CantMPI Europe Ltd - London

Will MiFID II bring Evolution or Revolution to investment research?

08 June 2016  |  4575 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 they will no longer charge the cost of broker’s research to the investor’s funds, but will pay them out of their own resources – a potentially revolu...

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

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

01 June 2016  |  4473 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  |  4728 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  |  3456 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
Iosif Itkin
Iosif ItkinExactpro part of London Stock Exchange Group - Moscow

The Next Generation of Testing Tools for Exchanges

17 October 2015  |  1898 views  |  0 comments | recommendations Recommends 0

The modern society expects quality and reliability from the modern exchange platforms. Thorough verification of exchange technology is not possible without adequate software testing tools. Understandi...

TagsRisk & regulationInnovation
Iosif Itkin
Iosif ItkinExactpro part of London Stock Exchange Group - Moscow

Innovation in Quality Assurance - What is the Impact on Trading Technology?

10 October 2015  |  3423 views  |  0 comments | recommendations Recommends 0

This post outlines some ideas on how particular changes in quality assurance might affect the trading technology. There are lots of discussions on Internet-of-Things, Cloud and Web. However, there are...

TagsTrade executionRisk & regulation
Gary Wright
a non-active Finextra member

Can you really test ethical behaviour?

24 October 2012  |  7693 views  |  0 comments | recommendations Recommends 0

I have never known ethics to be talked about so much as in the last year or two and we all know why. However, I was intrigued the other day when the Chartered Institute of Investment Services (CISI) (...

TagsRisk & regulationWholesale banking
Gary Wright
a non-active Finextra member

Ratings gone quiet or the lull before the calm

18 October 2012  |  3050 views  |  0 comments | recommendations Recommends 0

Since LIBOR broke into media frenzy territory the noise around ratings has gone pretty quiet. Although we have seen the appointment of Kevin Milne one of the City’s best assets by RVS the Singaporean ...

TagsRisk & regulationPost-trade & ops
Gary Wright
a non-active Finextra member

Getting to grips with Rogue Traders

17 October 2012  |  3573 views  |  1 comments | recommendations Recommends 0

At a City forum yesterday a representative from the FSA presented the seventeen definitions behind the operational risk management principles, which financial services firms are expected to practice t...

TagsTrade executionRisk & regulation
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Date 16 Feb 2007
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