Tag: MiFID II

In the past few months, both the SEC and CFTC have targeted numerous Wall Street firms for extensive recordkeeping oversights. This resulted in eye-watering penalties surpassing $1.5bn. Both major and minor firms should anticipate that this assertive enforcement will remain unrelenting.

everyoneINVESTED has obtained an ISAE 3402 Type I certification for its sustainability module from Deloitte, as MiFID II’s update launches.

With the ESG-focused principles of MiFID II regulation coming into force, wealth management firms need to be prepared for its impact and how they can future-proof their investment processes.

The European Securities and Markets Authority (ESMA) has issued a consultation on aspects of suitability requirements under the Markets in Financial Instruments Directive (MiFID II).

The European Securities and Markets Authority (ESMA) has encouraged the European Commission to move to stage three for the transparency requirements under MiFID II/MiFIR.

The European Securities and Market Authority (ESMA) has published its final report on MiFID II and MiFIR obligations concerning market data.

The Central Bank of Ireland has fined wealth management firm J&E Davy €4.1m after finding four breaches to MiFID regulations between July 2014 and May 2016.

The Financial Conduct Authority (FCA) has published an updated version of the FCA Handbook to give companies ample time to prepare before the Brexit transition period is over.

Compliance technology developer SteelEye has been picked by Schroders to help with MiFIR transaction reporting.

The EU’s securities markets regulator has published a call for evidence for an upcoming review for two pieces of regulation.