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Anne Plested

Regulation
ION Markets
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Followed by John Sims, Martha Boyle and 5 others you follow
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Anne Plested

Preparing for upcoming UK regulatory changes - PS23/4

At the end of June, Britain and the European Union signed a long-delayed post-Brexit cooperation pact in financial services – the memorandum of understanding on regulatory cooperation. The aim is to increase cooperation on financial services, establishing a forum where the EU and UK can meet twice a year to discuss financial regulation and standar...

14 August 2023 /regulation /markets

Anne Plested

The MiFID II Review is on the horizon

In Europe, the second Markets in Financial Instruments Directive and Regulation (MiFID II/MiFIR) have been with us since January 2018. In the preceding months, market participants completed multi-year programs of work to implement huge swathes of required changes. After the heavy lift of MiFID II for 2018, the industry is preparing to bear the cos...

11 May 2023 /regulation /markets

Anne Plested

The EU’s securities markets regulator prioritises flagging of non-price forming trades

For my latest blog, I reviewed the recent report by ESMA on equity transparency (RTS 1) to uncover what participants need to plan for. Following an earlier consultation, ESMA published its final report on the review of equity transparency (RTS 1) at the end of March. In July 2021, ESMA launched a consultation on a hefty set of changes to support a...

09 May 2022 /regulation /markets

Anne Plested

Catching up on events – 40 years of the ISIN

The 1980s brought us the first space shuttle, personal computers, the Internet, and the dismantling of the Berlin Wall. But that’s not all. Did anyone else feel just a hint of nostalgia when the Association of National Numbering Agencies (ANNA) announced they were celebrating a 40th anniversary this month? No? Just me then. The ISIN or Internation...

24 November 2021 /regulation /markets

Anne Plested

Dark trading restrictions set to remain on the regulators’ watch lists

The UK Treasury’s Wholesale Markets Review consultation paper devotes some attention to access to liquidity. In Europe, the review of MiFID II is progressing and like rules are also in scope. Tracking upcoming regulatory changes in the UK, alongside those proposed in Europe, focuses on the different treatments offered in each jurisdiction for the ...

07 September 2021 /regulation /markets

Anne Plested

MiFID II review stores up more compliance costs

As part of the ongoing wider review of MiFID II, ESMA is consulting on the rules around transparency. The consultation focuses on technical issues relating to post-trade data, among other things. In its recommendations, the European regulator revisits the groundworks to adjust the foundations for any future consolidated tape (CT). After the heavy ...

20 August 2021 /regulation /markets

Anne Plested

UK regulators hit the reset button

As the UK gets ready to hit the reset button on the post-Brexit regulatory environment, the Treasury has recently shared its vision for the future. The flurry of speeches and publications circling around certainly sets out to paint a positive picture, both in the new chapter for financial services and the plans for the future framework for regula...

03 August 2021 /regulation /markets

Anne Plested

Back to school for MiFID II

The review of MiFID/MiFIR is now well underway following the regulations’ 2-year anniversary in 2020. In their most recent consultation paper ESMA, the European securities and markets authority, was keen to hear from trading venues and investment firms engaged in algorithmic and high-frequency trading. Consulting on the efficiencies of the existin...

25 March 2021 /regulation /markets

Anne Plested

Wider adoption of MMT encouraged

The Securities and Markets Stakeholder Group (SMSG) recently advised ESMA to promote wider adoption of the Market Model Typology (MMT) post-trade data standards. The SMSG, which facilitates consultation between ESMA, its Board of Supervisors, and stakeholders, is encouraging a wider use of MMT to address MiFIR transparency. The MMT initiative is ...

29 April 2020 /regulation /markets MiFID

Anne Plested

The evolving global impact of MiFID II

Last week, the U.S. Securities and Exchange Commission announced an extension of their no-action letter regarding the European Union’s investment research rules. This extension helps both SEC regulated brokers and their European counterparts to the ultimate benefit of EU investors. In Europe, significant industry progress has been made in managin...

12 November 2019 /regulation

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Anne writes about

  • regulation & compliance
  • markets

Anne's opinion archive

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  • 2016 (6)
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