by Alexander Parker | Jan 7, 2019 | Blog
This January marks the one year anniversary of MiFID II’s implementation. The alterations to the financial sector that this regulatory framework proposes are vast in scope; one year on, it is worth questioning how effective these proposed changes have been. Has MiFID...
by Alexander Parker | Nov 8, 2018 | Blog
Financial advisers may be forced to leave behind old legacy platforms and wraps in favour of newer systems if they wish to achieve total MiFID II-compliance. Investment platforms have become increasingly commonplace in the past several years. Since just 2008, the...
by Alexander Parker | Nov 8, 2018 | Blog
On October 22, the United Kingdom Financial Conduct Authority (FCA) updated its webpage on position limits for commodity derivative contracts. Under regulation 16 of the European Securities and Markets Authority’s (ESMA’s) Financial Services and Markets Act 2000,...
by Benjamin Parker | Nov 2, 2018 | Blog
At the start of 2018, the Markets in Financial Industries Directive (MiFID II) changed how banks, financial firms and trading venues carried out business on behalf of their customers. Building on regulations initially introduced in 2007, MiFID II aims to encourage...
by Alexander Parker | Oct 26, 2018 | Blog
As we move towards the anniversary of MiFID II’s implementation, the FCA are becoming increasingly stringent in their enforcement of the regulations laid out there. While the FCA are obviously aiming for total MiFID compliance, they do seem to have a select number of...
by Benjamin Parker | Oct 23, 2018 | Blog
MiFID, the Markets in Financial Instruments Directive, is a fundamental part of the financial law in the European Union. It sets out standards for investment services and activities across the EU, although its influence stretches beyond European borders. This year’s...
