MiFID II
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ESMA supervisory briefing on algorithmic trading in the EU
Key points and practical implications in the areas of governance, testing, outsourcing, and pre-trade controls.
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EU proposes direct ESMA oversight for major trading venues
We consider industry pushback and sovereignty concerns with Tom Callaby, CMS; and Miroslav Đurić, Taylor Wessing.
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Financial regulators discuss challenges at Energy Trading Week Europe
Commodity derivatives were a particular focus in a wide-ranging exchange.
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FCA Market Watch: Remediation, back reporting and breach notifications
FCA highlights issues in MiFID reporting requirements and advises firms to update and improve their processes.
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Cybersecurity, rising costs of professional advice and paring back regulation discussed at roundtable
Compliance professionals wrestled with current challenges at the latest Global Relay Hedge Funds event in London.
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Securities dealers must follow recordkeeping rules says Danish FSA
Thematic review points to persistent recordkeeping issues at firms stemming from inadequate controls and use of error-prone manual systems.
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GRIP Extra: DHS investigates ex-CISA director Krebs, Atkins in as SEC chair
Other news includes a whistleblower testifying that Facebook was working with CCP on censorship, Treasury announcing the rollback of 15 rules and guidance statements, and the publication of several ESMA documents.
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Preparing for the UK’s new commodity derivatives regime
Next steps for firms, including preparing to take advantage of the new exemptions and submitting required applications to relevant trading venues.