Firms are still struggling with reporting quality and process in relation to the second Markets in Financial Instruments Directive (MiFID II), according to Cappitech’s second annual MiFID II and Best ...

The European Securities and Markets Authority (ESMA) has advised the European Commission to move to stage three of the phase-in for the transparency requirements for RTS 2 under the second Markets in ...

It would be understandable if many firms decided to crack open the champagne in celebration of the decision to delay the implementation date of MiFID II by 12 months. MiFID II is an enormous ...

The European Securities and Markets Authority (ESMA) has published its final report providing technical advice to the European Commission (EC) on changes made by the Listing Act to the Market Abuse ...

The red light is ‘blinking’ – but are you sure you’re recording? Investment banks know they need to record their trades or face the wrath of the regulator. However, too often it is taken for granted ...

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 ...

That means firms managing their reporting obligations under the revised Markets in Financial Instruments Directive (Mifid II) via GoldenSource can have their data automatically submitted to the Trax ...

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 ...

The Investing and Savings Alliance (TISA) has selected Atos as its vendor to develop a centralized reporting platform aimed at easing regulatory reporting requirements for the second Markets in ...

The new report found that only 12% of respondents polled believe that the new regulatory regime correctly reflects the prudential risks firms pose. Almost half of proprietary trading firms are ...

LONDON, June 15, 2017 (GLOBE NEWSWIRE) -- Trax®, a subsidiary of MarketAxess Holdings, Inc. and a leading provider of regulatory reporting, trade matching and capital market data services, and Bats ...

The issue of how firms should pay for investment research continues to be a controversial topic in the financial markets. The U.S. has maintained the approach it adopted before the mid-2000s, which is ...