29 May 2017

MiFID

A Finextra Community Group

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Retired Member
a non-active Finextra member

Does archiving increase risk?

07 September 2016  |  3706 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
Retired Member
a non-active Finextra member

Demonstrating Compliance of Investor Protection

05 August 2016  |  7053 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
Retired Member
a non-active Finextra member

MiFID II Check List - Is your data communications ready?

07 July 2016  |  5297 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  |  7570 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  |  5681 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
Retired Member
a non-active Finextra member

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

15 March 2016  |  5381 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
Retired Member
a non-active Finextra member

Don’t procrastinate with preservation

22 February 2016  |  3833 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  |  2426 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  |  4026 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  |  7955 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
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Founded by An ex-member
Date 16 Feb 2007
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