MiFID II

Articles

13 Feb 2017 — Lloyd Altman

A recent Google search on the term “RegTech”, which is short for Regulatory Technology, returned no less than 260,000 results and the news section is filled with more than 13,000 articles.

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24 Jan 2017 — Lloyd Altman

Risk Focus, Inc., the specialist solutions provider to the global capital markets, today announced the launch of a new firm, RegTek Solutions Inc. (RegTek).

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12 Jan 2017 — Alan McIntyre

Despite being a relatively new standard, ISO 20022 is gaining increasing significance and traction within the world of European regulatory transaction reporting. ISO 20022 is the successor to ISO 15022 and at the risk of revealing my age I recall implementing ISO 15022 standards for SWIFT messaging when I worked at Blackrock many years ago.

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03 Jan 2017 — Lloyd Altman

Firms use Validate.Trade to test reporting software to reduce the cost and risk of change to pre-validate trade reports before they fail at the ARM, TR or SDR resulting in better control and compliance!

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19 Dec 2016 — Bill Hodgson

Did you know that a group of senior buy- and sell-side people meet in private each year to freely debate the state of the OTC market, and hear from regulators on the future direction of regulations?

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14 Nov 2016 — Hugh Daly

MA recently hosted a highly successful, in-depth MiFID II Working Group focused on trade and transaction reporting implementation. Held over 2 days in London the event attracted 15 representatives from 7 financial institutions (banks and buy-side) based across three continents. These included MA clients and others interested in the subject. Our aim was to create a collaborative environment to discuss the issues related to MiFID II implementation, and to disseminate and receive input on MA's current views and progress on MiFID II solutions.

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06 Nov 2016 — Bill Hodgson

The OTC Space met with Christian Nentwich, CEO of Duco to ask some questions about the firm, and the effects of technology on banking.

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14 Oct 2016 — Lloyd Altman

ESMA has published their MiFID II Final Report as a result of their Consultation Paper. It consists of updates and changes to the 289 page ‘Guidelines’ which provides the industry with, amongst other things, examples and details on how to populate transaction reporting fields in certain circumstances, and a 32 page ‘Final Report’ which summarizes the resultant changes, updates and additions and includes explanations as to why industry feedback was or was not included.

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12 Oct 2016 — George Bollenbacher

It goes without saying, I suppose, that financial markets regulation has always been something of a conundrum – the markets have always been global, to a greater or lesser degree, and regulations have always been national or regional. But it does seem that today more than ever the problem is exacerbated. After the financial panic of 2008-09, every regulator and every government seemed to embark on a market reregulation binge, and managed to do it without much regard for what everyone else was doing.

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28 Sep 2016 — Bill Hodgson

Join an interactive discussion and problem solving forum starting in October.

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15 Sep 2016 — George Bollenbacher

Enjoy a recording of a recent webiner by George Bollenbacher of CMA, on the complexity faced by your Order Management System in applying the MiFID II rules.

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07 Sep 2016 — Patrick Thornton-Smith

It was back in early February when the European Commission confirmed the introduction of MiFID II would be delayed a year, to January 2018. At that time, I recall a general feeling of relief from most financial institutions facing a huge upheaval to be compliant with the new directive.

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