The Markets in Financial Directive (“MiFID”) is a European Union law that provides harmonized regulation for investment services across the 31 member states of the European Economic Area (the 28 EU ...
The second Markets in Financial Instruments Directive (MiFID II) has now become effective as a part of EU legislation. MiFID II regulates firms that provide any services to clients linked to financial ...
North American broker-dealers and asset managers domiciled in the U.S. are watching their European counterparts gear up for compliance with MiFID II. But will MiFID II affect U.S. broker-dealers and ...
The European Securities and Markets Authority (ESMA) has published draft regulatory and implementing technical standards (RTS and ITS) for third-country firms under the new Markets in Financial ...
The Securities and Exchange Commission's guidance allowing U.S. broker-dealers to receive separate payments for research without being subjected to regulation as investment advisers has expired, and ...
The final guidelines follow a public consultation with participants and aim to enhance clarity and foster convergence in the industry’s approach to investor protection under MiFID II. The European ...
Kim Newell Chebator explains how new MiFID II regulations on data and trading will affect investors from next year. In January 2018, MiFID II will come into effect. Designed to increase investor ...
An EU Commission Delegated Regulation (2021/1833) on the criteria for when an activity will be considered as ancillary to the main business has been published in the Official Journal of the European ...
Ullink’s automated trade reporting solution covers cross-asset class reporting requirements and provides a centralized dashboard displaying reporting status and abilities to amend or cancel reports ...
The amendments come as part of the EU’s objective to meet the UN Sustainable Development Goals, but data suggests many firms are struggling to meet the compliance requirements. Amendments to Mifid II ...
It would be understandable if many firms decided to crack open the champagne in celebration of the decision to delay the implementation date of MiFID II by 12 months. MiFID II is an enormous ...
Greenwich, Conn.-based Indata launched the iPM Epic platform in 2014 and claims to have made 350 alterations to the system ahead of the incoming Mifid II regulation in Europe, with specific focus on ...
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