19 October 2017


A Finextra Community Group

96Posts 437,806Views 53Comments

Latest blog posts

Darren ThomasIHS Markit - New York

The Good, The Bad and The Ugly: MiFID II’s Buy-Side Sell-Side Standoff

2 hours ago  |  780 views  |  0 comments | recommendations Recommends 0

Investment managers and brokers both lose unless they resolve differences by the MiFID II deadline Repapering of terms under MiFID II is potentially a massive problem for the buy-side. This issue is often overlooked as asset managers typically rely on their sell-side partners for support. Broker-dealers and banks provide trading strategies, liquid...

TagsRisk & regulationPost-trade & ops
Christian VoigtFidessa - London

Who makes the decisions around here?

17 October 2017  |  2247 views  |  0 comments | recommendations Recommends 0

Recording the execution decision maker is a new requirement under MiFID II. Working out how to populate that field turns out to be trickier than expected. Take a buy-side that gives strict execution instructions on how to execute its agency care order. On the one hand, you could argue that the sell-side made no decisions and therefore records NORE ...

TagsRisk & regulationWholesale banking
More blog posts
Darren Thomas
Darren ThomasIHS Markit - New York

Fighting the Paper Tiger: The Challenge with MiFID II Repapering

27 September 2017  |  3021 views  |  1 comments | recommendations Recommends 0

Getting re-papered under the terms of MiFID II will test the relationships between dealer and asset manager. All the terms of business, policies and procedures that banks and broker dealers have with ...

TagsRisk & regulationPost-trade & ops
Paul Mundy
Paul MundyTorstone Technology Ltd - London

Hurdling towards the finish line of MiFID II

04 September 2017  |  5345 views  |  0 comments | recommendations Recommends 0

The upcoming implementation of the second iteration of the Markets in Financial Instruments Directive (MiFID II) is without doubt one of the most talked-about topics in the finance industry this year....

TagsRisk & regulationPost-trade & ops
Subhasis Bandyopadhyay
Subhasis BandyopadhyayMindtree Ltd - Bangalore

Guide to implementation of client suitability and appropriateness framework for MiFID II

04 September 2017  |  4335 views  |  0 comments | recommendations Recommends 0

Introduction The genesis of the Client suitability and appropriateness framework lies in Markets in Financial Instruments Directive (MiFID II) regulation. MiFID II is scheduled to be implemented in J...

TagsRisk & regulationFinancial inclusion
Brie Lam
Brie LamIHS Markit - Usa, Canada, Apac

To Opt In or Not to Opt In? That’s the Question for Dealers Studying the SI Rules Under MiFID II

29 August 2017  |  5052 views  |  0 comments | recommendations Recommends 0

When ESMA announced in late 2016 that the quantitative threshold assessment under the MIFID II Systematic Internaliser (SI) regime would commence from 1st September 2018, rather than 3rd January 2018,...

TagsRisk & regulationPost-trade & ops
John Jannes
John JannesIHS Markit - New York

RTS 28: More to compliance than meets the eye

21 August 2017  |  8114 views  |  0 comments | recommendations Recommends 0

In April of 2018 European investment firms will be required to publish their first ever disclosures about quality of trade execution, under the guidance of MiFID II's RTS 28. At first glance, one migh...

TagsTrade executionRisk & regulation
Maxwell Summerfield
Maxwell SummerfieldBusiness Systems UK Ltd - London

MiFID II - Finding the way to compliant communications

14 August 2017  |  5794 views  |  2 comments | recommendations Recommends 0

MiFID II seemed so far away when it was pushed back until January 3rd 2018!! This has been a long time coming, and despite the looming deadline, firms are still trying to work out what they need to d...

TagsRisk & regulation
Kirston Winters
Kirston WintersIHS Markit - London

MiFID II and Trade Reporting: Get Ready for Big Changes

11 August 2017  |  5902 views  |  0 comments | recommendations Recommends 0

MiFID came into effect in 2007 – under the current regime, buyside firms are typically not required to publish trades and real-time public reporting (“trade reporting”) is handled by trading venues an...

TagsRisk & regulation
Ivy Schmerken
Ivy SchmerkenFlexTrade Systems - Great Neck

MiFID II Transparency Puts Stress on Data Architecture

09 August 2017  |  9467 views  |  0 comments | recommendations Recommends 0

With only four months to go until the MiFID II’s Jan. 3, 2018 implementation date, buy-side firms are facing huge changes in disclosure and transparency requirements, which could upend their data mana...

TagsTrade executionRisk & regulation
Previous 1 | 2 | 3 | 4 | 5 |Next

About this group join  Join us

Founded by An ex-member
Date 16 Feb 2007
Group profile
A place to discuss MiFID
Active bloggers

Top bloggers: 30 days

Most viewed Engaging
Darren Thomas
Darren Thomas

Darren Thomas is managing director and s...

Christian Voigt
Christian Voigt

I'm a Senior Regulatory Adviser at Fides...

Who is commenting on MiFID posts

Breana Patel
Karishma Wadhwani
Willem Lambrechts
Peter Williams
David Snowdon
Ahmed Saleh
John Cant
Ketharaman Swaminathan
Gary Wright
Iosif Itkin
Slava Gnevko
Nick Ogden