MiFID II

MiFID II product governance: is it the death of investment product market abuse?

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Introduction With less than 5 months left before the deadline for MiFID II on 3 January 2018, firms are still grappling with the implementation of MiFID II.  One key area is the new product governance framework which has been enacted with the objective of ensuring that firms act in the best interests of their clients

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RegTech: strategic, automated solutions

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Regulation is constantly changing and evolving, reflecting the turbulent and innovative nature of financial services, with hundreds of regulators in different regions and financial spheres formulating regimes and detailing the obligations firms must prove compliance with. The implication for any firm is that keeping track can be a drain on resources – and risky if

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RegTek Solutions partnership with Deutsche Börse draws parallel to Nasdaq move

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Yolanda Bobeldijk’s August 2, 2017 Financial News (FN) article entitled “Deutsche Börse latest to turn to regtech for Mifid II” leads off by drawing parallels between the Deutsche Börse’s decision to utilize RegTek.Solutions’ components as part of its MiFID II Reporting Hub and Nasdaq’s acquisition of London-based fintech Sybenetix.

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The new MiFID world: research from the buy-side perspective

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The clock is ticking and the EU market has less than half a year left to implement the regulatory changes required from it.  The revised Markets in Financial Instruments Directive (MiFID II) sets new legislation effective 3 January 2018, containing a range of complex provisions intended to enhance transparency and investor protection within the financial

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Deutsche Börse Regulatory Reporting Hub partners with RegTek.Solutions and Risk Focus for MiFID II

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Frankfurt am Main     2 August 2017 

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FCA releases asset management market study final report

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The FCA has released its final report on the Asset Management Market Study, which was launched in order to understand how asset managers compete to deliver value to clients, highlighting the weak price competition in several areas, issues with lack of clarity over charges and objectives. The study was launched in November 2015, with an

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MIFID II: What Should Transparency Look Like?

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We replicate the transparency calculations published by ESMA, using SDR data on EUR Swaps. EUR swaps are the second largest IRS market, and yet do not benefit from real-time trade level reporting. Our data shows that most of the EUR IRS curve is “liquid”, with ADV >€50m. SDR data calibrates realistic pre-trade transparency thresholds at €50k […]

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Commodity derivatives: Position reporting and position limits under MiFID II

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Commodity derivative trading is just one of the many topic areas under MiFID II that firms need to ensure they are prepared for before 3 January 2018. One set of measurements in this area is that firms will be required to report commodities positions to National Competent Authorities (NCAs) on a daily basis. Another is

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Continued growth at RegTek.Solutions has David Morris joining as Product Manager

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19 July 2017, New York & London: Leading trade reporting and compliance software company RegTek.Solutions is pleased to announce today that David Morris has joined their team i

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Who’s ready for MiFID II? MiFID II webinar report available for download

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JWG would like to thank over 300 attendees for being part of our MiFID II implementation webinar on Wednesday 12 July. We received some excellent feedback from attendees and we hope you took away valuable insight about how to gear-up your programmes. As mentioned, the webinar video recording and our report ‘Who is ready for

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