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A place to discuss MiFID
It's been a busy and fun Autumn on the London financial services conference circuit. I've been lucky enough to attend a healthy diversity of events with distinct though intersecting agendas. I've atte...
The FIX Trading Community’s second annual France Trading Briefing, held in Paris on November 22, picked up the baton and ran with a number of themes already touched on at its September Nordics briefin...
Last Friday, ESMA finally published its long anticipated call for evidence on periodic auctions. Periodic auctions became popular in 2017 and even more so through 2018 and so they are often linked to...
Just when wealth managers thought that they could draw a sigh of relief, knowing that their MiFID II obligations were, if not a thing of the past, at least a part of business, as usual, a sense of fo
Despite the view that MiFID II is a European regulation, US investment managers are experiencing disruption as they align their research payment and execution practices with the influential standard. ...
With the rollout of such a massive regulation as MiFID II, there are bound to be some hiccups, but so far firms are mainly wrestling with trade reporting and data quality issues. That sentiment was ex...
The deadline for meeting the General Data Protection Regulation (GDPR) is on its way. But many non-EU investment management firms may not realize the extent to which they will be affected by this exte...
If you had asked me last year what the actual impact of the double volume cap (DVC) would be, I would have said that it’s ridiculously complex to operate but wouldn’t matter all that much because it w...
In the past decade an unequalled amount of regulatory reform has taken place internationally across the financial services industry; a journey that has not been for the faint-hearted or those lacking ...
In regulated environments it’s imperative to invest now to future proof your business – the requirement for transaction reconstruction is not trivial and we suggest a systematic & proactive appro
With MIFID II’s rules on inducements now a reality, buy-side firms are paying close attention to the costs associated with their front-office trading platforms and analytics. The EU regulation, which ...