The Markets in Financial Directive (MiFID) is a European Union law that provides harmonized regulation for investment services across the 31 member states of the European Economic Area (the 28 EU ...

This is the second in a series of blog posts on MiFID II(Markets in Financial Instruments Directive II). If you missed the first post, seeMiFID II: How Did We Get Here and What Does it Mean?Continuing ...

The cost of complying with the European Union’s (EU's) gargantuan Markets in Financial Instruments Directive II (Mifid II) is not just forcing smaller independent financial advisory firms to revise ...

The European Commission has adopted a Delegated Regulation supplementing Directive 2014/65/EU (MiFID II), with regard to regulatory ...

The second Markets in Financial Instruments Directive (MiFID II) has now become effective as a part of EU legislation. MiFID II regulates firms that provide any services to clients linked to financial ...

Alpha FMC (Alpha) has partnered with Kaizen Reporting (Kaizen) to provide independent transaction reporting assessments for specialist wealth managers and smaller asset managers to help them to meet ...

Ullink’s automated trade reporting solution covers cross-asset class reporting requirements and provides a centralized dashboard displaying reporting status and abilities to amend or cancel reports ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

U.K. financial regulation includes a small and unusual provision, the so-called “MiFID override,” which prioritises the EU’s MiFID II regime over the U.K.’s own regulatory framework when determining ...

Electronification and regulations such as Mifid II that touch upon the fixed-income trading space may be attempting to mirror the equities model but cannot succeed due to specific differences between ...

A survey last year found more than three-quarters (77 per cent) of pension schemes feel they do not necessarily have the operational infrastructure in place to accommodate change, such as the ...