All posts tagged "MiFID II"
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394EuropeEuropean 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 -
405EuropeESMA 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 -
671Big 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 -
318EuropeMiFID 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 -
7461Contributed 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 -
1.2KChinaRegulatory 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 -
1.8KEuropeEU, Singapore Agree to Mutually Recognise Derivatives Venues
Singapore and EU-based firms will be able to trade derivatives on approved platforms based in either jurisdiction following proposed equivalence decisions by both regulators.
February 21, 2019 -
841Securities & TradingMAS Discusses Supervisory Toolkit for Fund Managers – Speech
MAS places emphasis on conduct and individual accountability in its supervisory approach, using data analytics to help identify unusual trends and flag outliers among fund managers.
February 19, 2019 -
643Asia-PacificCalastone to Migrate Global Funds Network to Blockchain
By moving to a blockchain platform, Calastone seeks to address the high cost of funds distribution and operational risk resulting from manual processes, older systems and legacy technology.
December 5, 2018 -
1.1KAsia-PacificFundForum: European Policy Impacts on APAC Asset Managers
MiFID II and GDPR have been the biggest European regulations to impact asset management firms in Asia, according to FundForum panellists last week.
September 10, 2018
