All posts tagged "MiFID II"
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1.1KFeatured Articles2021’s ESG Regulatory and Legislative Changes
Ahead of COP26 in November, a plethora of regulatory and legislative changes as well as industry-level initiatives will drastically impact the ESG investing space.
January 14, 2021 -
593EuropeHigh-Level Forum Charts Course to Achieve EU Capital Markets Union
In a new report, the EU's High-Level Forum on capital markets union offers specific recommendations on developing deeper, more dynamic and more harmonised markets across EU member states.
June 11, 2020 -
614Australia & NZESMA Clarifies Transparency Rules, Position Limits for Non-EU Venues
ESMA has clarified its application of post-trade transparency requirements and the position limits regime to third-country trading venues.
June 4, 2020 -
863Europe
EU, US, UK Authorities Grant Relief on Call Recording Rules
ESMA, the CFTC and the FCA have each indicated that financial firms can consider alternative mitigating steps in circumstances where call recording with clients is not possible.
March 23, 2020 -
987EuropeEuropean Commission Launches MiFID II Review
The introduction of a consolidated tape and enhancements to investor protection are high priority items in the review.
February 20, 2020 -
741Europe
ESMA Consults on New Standards for Third-Country Investment Firms
The new Investment Firms Regulation (IFR) and Directive (IRD) will require third-country firms providing investment services and activities in the EU to report granular information to ESMA.
February 3, 2020 -
912Big PictureFund Managers to Remain in Regulatory Spotlight in 2020: Moody’s
Asset managers will remain in the regulatory spotlight as authorities actively work to reduce conflicts of interest in financial advice and elevate supervision of fund liquidity management.
December 10, 2019 -
489EuropeMiFID II Has Not Delivered Lower Market Data Costs: ESMA
ESMA is calling for a real-time consolidated tape for equity instruments to improve transparency and remedy the fragmentation in European capital markets.
December 9, 2019 -
1.2K1Contributed ArticleRegulatory Data: Arrows for the Quiver?
Banks need to be cognisant of how the data they provide to regulators is being used, says Herbert Smith Freehills in its 2019 Global Bank Review.
October 25, 2019 -
1.6KChinaRegulatory Change Aggravated the CITIC-CLSA Culture Clash
Though the CLSA-CITIC fallout was characterised as a cultural clash, this narrative frays against the other challenges facing stock brokers and investment bankers, says Peter Guy.
May 28, 2019
