Disagreement Over Research Unbundling Between UK and EU Fund Managers As part of the regulatory framework enacted by MiFID II in January of 2018, asset managers were required to separate the cost of research from other costs such as trading commissions. This...
Market Data Vendors Struggle to Keep Up Amid Coronavirus Pandemic Since the outbreak of COVID-19 has spread and made its impact known on global markets, a number of banks and investment firms have been required to fall back on Business Continuity Measures (BCP). As a...
ESMA Releases Public Statement on MiFID II Best Execution Reporting During COVID-19 Pandemic The disruption to markets caused by preventative lockdowns in response to the Coronavirus pandemic has caused execution venues and firms a great deal of uncertainty with...
Updated Opinions on Position Limits Under MiFID II Published by ESMA On February 7th, ESMA published seven opinions on position limits regarding commodity derivatives under MiFID II/MiFIR. The opinions published by ESMA agree with a number of proposed position limits...
Global financial institutions have been fined over $36 billion since 2008 At the close of the decade, global fines for non-compliance with Anti-Money Laundering (AML), Know your Customer (KYC) and sanctions regulations have exceeded $36 billion since the financial...
FSMA Publishes Educational Brochure on MiFID II Investor Protection The Financial Services and Markets Authority (FSMA) has published a brochure intended to help investors and consumers better understand their rights. The brochure also outlines what obligations bind...
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