21 February 2017


A Finextra Community Group

76Posts 322,877Views 46Comments

Latest blog posts

Tayloe DraughonDraughon.us - Chicago

Algo Development and Ethics

21 November 2016  |  2808 views  |  0 comments | recommendations Recommends 0

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 are the ethical constraints that we in the electronic trading community should hold ourselves to? What rules should we apply to our activities even ...

TagsTrade executionRisk & regulation
Cornelius NandyalAssociates in Capital Markets - London

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

13 October 2016  |  5957 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
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Brian Perfect
Brian PerfectActiance - London

Archiving in the cloud: Expensive and less secure?

12 October 2016  |  4166 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 effect...

TagsRisk & regulation
Tayloe Draughon
Tayloe DraughonDraughon.us - Chicago

Momentum Ignition: Arson for Financial Markets

13 September 2016  |  3193 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  |  3560 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  |  6801 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  |  4950 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  |  6978 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  |  5439 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  |  5285 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
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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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