We interview compliance headhunter Nick Litwinek in the first of a series designed to help compliance, risk, and legal practitioners to find, secure, and manage high-quality compliance talent across regulated industries.
MIFID II Org Reg Art 22
Requires firms to establish, implement, and maintain adequate policies and procedures to detect any risk of a failure by the firm to comply with the requirements of MiFID II.
Rule Overview
Jurisdiction: European Union
Regulator: ESMA
Topic: General Requirements
Commission Delegated Regulation (EU) 2017/565Overview
Latest News
Further Reading
Latest News
Observations on selected questions raised in the consultation, from the suitability and functioning of existing MiCA requirements to areas of crypto that fall outside of MiCA.
To what extent do the business activities of prediction market platforms fall within the scope of financial services regulation in European jurisdictions?
Key points and practical implications in the areas of governance, testing, outsourcing, and pre-trade controls.
We consider industry pushback and sovereignty concerns with Tom Callaby, CMS; and Miroslav Đurić, Taylor Wessing.
Commodity derivatives were a particular focus in a wide-ranging exchange.
FCA highlights issues in MiFID reporting requirements and advises firms to update and improve their processes.
Compliance professionals wrestled with current challenges at the latest Global Relay Hedge Funds event in London.
