The European Securities and Markets Authority (ESMA) has added 12 new Q&As to its Questions and Answers (Q&A) document on the implementation of investor protection topics under the Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). The new Q&As cover the topics of client categorisation, post-sale reporting, recording of telephone conversations and electronic […]

The European Securities and Markets Authority (ESMA) has updated its (Q&As) regarding the implementation of the Markets in Financial Instruments Directive (MiFID II). Q&As include news answers to questions regarding: • market structure issues; and • transparency issues. The purpose of the Q&As is to promote common supervisory approaches and practices in the application of […]

Source: FTSE Global Markets In essence, it is technology used to provide regulatory solutions, but it can be used to describe any technology that covers even a single element of a multitude of regulations. If you look at automobile production, for example, you might say that a manufacturer of ball bearings is stretching the truth […]

Source: Media Planet Business and Industry Europe’s wholesale financial markets risk being hampered by a lack of clarity around the revised MiFID II regulation, claims the Association for Financial Markets in Europe (AFME). The AFME says the imprecision of the MiFID II/MiFIR text has hampered bank’s implementation projects and could impact markets, liquidity and investor […]