Tags MiFID II

Tag: MiFID II

Theta Lake revolutionizes compliance with cutting-edge voice recording innovations

Theta Lake, an esteemed leader in Digital Communications Governance (DCG) and a heralded provider of Unified Communication Compliance solutions, has recently expanded its offerings.

Decoding the UPI: Revolutionizing OTC derivatives reporting in global markets

The introduction of the Unique Product Identifier (UPI) under the European Union’s EMIR REFIT marks a significant shift in over-the-counter (OTC) derivatives reporting. This innovative identifier is set to be implemented globally, impacting financial markets across Australia, Singapore, Europe, the UK, and the USA.

Enhancing communication compliance with Custodia’s CC1 Service

In a recent Conduct Risk Assessment of Telephone and Electronic Communications by the Central Bank of Ireland, significant concerns regarding communications compliance have surfaced,...

Custodia’s CC1 Service: Revolutionizing communication compliance in the era of hybrid...

The Central Bank of Ireland recently conducted a Conduct Risk Assessment of Telephone and Electronic Communications in the securities market. This crucial assessment aimed to evaluate compliance with the Markets in Financial Instruments Directive (MiFID II), especially Article 16(7), which mandates firms to prevent the use of unauthorised communication.

Mastering transaction reporting: Reducing risks and achieving compliance

Firms facing transaction reporting obligations often find themselves navigating multiple regulatory regimes such as MiFID II, EMIR, Dodd Frank, and ASIC. Despite awareness of their duties, many aren't doing enough to meet the stringent regulatory standards.

The importance of eComms recordkeeping in FinTech

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 obtains ISAE 3402 certification as ESG MiFID II update launches

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

How wealth managers can prepare for MiFID II ESG update

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.

ESMA issues consultation on MIFID II suitability guidelines

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).

ESMA urges European Commission to move to next phase for certain...

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.

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