Sign up for free newsletter


MiFID II: Meeting the compliance challenge

Sat, 13/05/2017 - 14:24

This Hedgeweek Special Report examines the impact, on both large and small asset managers, of MiFID II on every part of their operations, trading and governance, and unravels the range of solutions on offer

The 'MiFID II: Meeting the compliance challenge' special report comprises 9 separate articles listed below, these can be read individually or as a sequence.
James Willims, Hedgeweek

Choosing the right MiFID II vendors is mission-critical

Wed, 10/05/2017 - 10:18

The introduction of MiFID II and MiFIR on 3 January 2018 will impact every aspect of how financial institutions do business. The scale of the task cannot be underestimated. For buy-side firms, getting the right vendor relationships in place will be vital to ensuring that they operate under the regulations in as efficient and compliant a way as possible.  »

George Ralph, RSA

Approach MiFID II as a business risk exercise

Wed, 10/05/2017 - 10:45

MiFID II comes into effect on 3 January 2018 and will likely require fund managers to make significant changes to their systems, governance and controls & procedures.  »

Julian Korek, Duff & Phelpsff & Phelps

Setting out a compliance roadmap

Wed, 10/05/2017 - 10:51

At the last count, there were approximately 1,384 pieces of information to look through under MiFID II. For Chief Compliance Officers, that is an awful lot of work to get on top of, which is why implementing a compliance roadmap as early as possible is so important.  »

Ralph Achkar, Colt

Colt offers substantial infrastructure ecosystem

Wed, 10/05/2017 - 10:54

Colt Technologies is a private telecoms company owned by Fidelity. It delivers secure, on-demand services designed to meet the stringent requirements and speed of the financial markets. Among the more than 400 capital markets firms it supports worldwide includes 18 of the 25 largest global banks and 13 European central banks. With both sell-side and buy-side firms looking for reliable access to market data under MiFID II, having the requisite market infrastructure in place is a potentially daunting task. »

Paul Yau, Advise Technologies

Centralise your data management to cope with transaction reporting

Wed, 10/05/2017 - 10:58

MiFID II aims to increase the accountability and transparency of the financial services industry and represents the latest in a long line of regulatory developments since the '08 global financial crash.  »

James Williams, Hedgeweek

Compliance considerations ahead of January deadline

Wed, 10/05/2017 - 11:07

On forecasting the likely actions of Russia during the Second World War, UK Prime Minister, Sir Winston Churchill, spoke of it as a ‘riddle wrapped in a mystery inside an enigma'. Alternative asset managers might be forgiven for thinking the same about the devilish complexity of MiFID II. »

Alan Goldstein, Trade Informatics

MiFID II could accelerate buy-side control of execution intelligence

Wed, 10/05/2017 - 11:12

Anyone who has bought or sold a home knows that, prior to closing, an inspector usually verifies the property's condition. The buyer doesn't simply accept the seller's representation that the home is sturdy and unlikely to collapse. An inspection lays bare the houses faults, giving the buyer comfort in the home's condition and absolving the seller of ongoing responsibility. »

Mario Mantrisi, InReg

Product governance considerations under MiFID II

Wed, 10/05/2017 - 11:16

Investment managers running UCITS funds or Alternative Investment Funds (AIFs) will not fall directly under MiFID II or have any legal obligation to comply with regulation or require a MiFID license. However, from a product governance perspective, they will be impacted indirectly. This is because their fund distribution partners, such as MiFID licensed bank platforms, will be required to define the investor target market for each product.  »

Jeremy Davies, RSRCHxchange

Unlocking the research market

Wed, 10/05/2017 - 11:19

Research unbundling is creating a whole new marketplace model for research procurement and consumption.  »

other gfm publications