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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...
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 transl...
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...
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...
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...
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’...
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...
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 ...
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...
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...
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...