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 ...

The second Markets in Financial Instruments Directive (MiFID II) has “largely been successful across most parts of the market and the industry has bent over backwards to implement reforms, despite ...

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 ...

Greenwich, Conn.-based Indata launched the iPM Epic platform in 2014 and claims to have made 350 alterations to the system ahead of the incoming Mifid II regulation in Europe, with specific focus on ...

The Securities and Exchange Commission's guidance allowing U.S. broker-dealers to receive separate payments for research without being subjected to regulation as investment advisers has expired, and ...

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 ...

The intensification of financial regulation is a fundamental trend transforming the asset management ecosystem. The planned transition to T+1 settlement in 2024 and the forthcoming revision of Mifid ...

MiCA passed in 2022, but aspects of it are still being worked out. Defining a financial instrument is a big outstanding question. The European Securities and Markets Authority (ESMA) released two ...

Kim Newell Chebator explains how new MiFID II regulations on data and trading will affect investors from next year. In January 2018, MiFID II will come into effect. Designed to increase investor ...