ESMA, featured, MiFID II
0 Comments
ESMA, the EU’s securities markets regulator, is consulting on reviewed guidelines on MiFID II product governance.
DTCC, DTCC Report Hub, MiFID II
0 Comments
The community leveraging the DTCC Report Hub service has grown to more than 70 firms, including leading banks and major swap dealers.
featured, FSA, MiFID II, Saxo Bank
0 Comments
Denmark’s FSA orders Saxo Bank A / S to remove the information that customers can take the suitability test again.
ESMA launches a common supervisory action with national competent authorities on the application of MiFID II costs and charges.
ESMA is consulting on certain aspects of suitability requirements under the Markets in Financial Instruments Directive (MiFID II).
Central Bank of Ireland, MiFID II
0 Comments
The Central Bank of Ireland publishes findings of a review of investment firms’ compliance with the suitability requirements under MiFID II.
Spain and Cyprus imposed the heaviest penalties for MiFID II breaches in 2020, according to data published by ESMA today.
algo trading, algorithmic trading, Central Bank of Ireland, MiFID II
0 Comments
The Central Bank of Ireland reviews how algo trading firms incorporate MiFID II requirements into their risk management.
ESMA, MiFID II, tick size
0 Comments
ESMA amends its Q&As to reflect the amendment in MiFID II which excludes Large in Scale transactions from the mandatory tick size regime.
Brexit, ESMA, MiFID II, reverse solicitation
0 Comments
Some firms appear to be trying to circumvent MiFID II requirements after the end of the Brexit transition period, ESMA warns.
