Tag: MiFID
Can market surveillance help to keep traders on track?
By Richard Bentley, Vice President, Capital Markets, Progress Software
There’s no doubt that today's high speed capital markets and cross product, cross market trade volumes mean regulation struggles to keep up with changes in the market. MiFID II is an example of a financial regulatory...
All Change: When to Prepare for New Regulations
As financial institutions bemoan the uncertainty still hovering over Dodd-Frank implementation and possible delays, there are steps that they can take to prepare for them even before the ink dries. Otherwise compliance can cause major disruptions to their business operations.
Brokers, in...
All Aboard: New Regulations Take Many Tracks
The regulatory trains in Europe and the US have left their respective stations and are headed down the tracks, but they will change tracks many times along the route before reaching their destination. Thick tomes of proposed operating rules have to be interpreted even as interested financial services...
Why Is There Currently So Much Confusion Around FS Regulation In The UK?
Tomorrow after TradeTech we’ll be asking the crowds, ‘what’s next in regulation?’ I imagine that answers will be as varied as some of the statements provided in the recent Raj Rajaratnam...
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