MiFID Alert
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Knowledge Graphs Show Glimpse of Full Potential
By Max Bowie February 15, 2021, WatersTechnology Thankfully, most of the challenges facing firms are more mundane, but still have the potential to be costly drains on resources. For instance, the plethora of recent regulatory reporting requirements have resulted...Posted on Tue, Feb 23, 2021 @ 11:15EU Adopts Rules to Help Cos. Reach Funds During Pandemic
By Najiyya Budaly February 16, 2021, Law360 European Union member states have pushed through amendments to the bloc’s capital markets rules in a move to help businesses raise money on financial markets amid the economic crisis created by...Posted on Tue, Feb 23, 2021 @ 11:11Boutique London Fund Managers Hit Early Brexit Turbulence
By Owen Walker February 2, 2021, Financial Times London’s boutique investment managers are struggling to negotiate new post-Brexit rules and trading arrangements in order to continue serving their European clients. Fund managers with smaller budgets than big name rivals...Posted on Tue, Feb 23, 2021 @ 11:01Dutch Regulator Widens Post-Brexit Scope
By Wendy Lisney February 18, 2021, Global Investor Group The supervisory scope of the Netherlands Authority for the Financial Markets (AFM) has broadened significantly since Brexit as the Dutch regulator onboards new UK venues and asset classes. “We have welcomed quite...Posted on Fri, Feb 19, 2021 @ 7:07Small Company Research Not Held Back by New EU Rules, Regulator Says
By Huw Jones February 18, 2021, Reuters European Union rules that shine a light on how much asset managers pay for research on small companies have not reduced the breadth of coverage, the bloc’s securities watchdog said on Thursday.Since...Posted on Fri, Feb 19, 2021 @ 7:04MiFID II/MiFIR Review Will Be Both Broad and Technical
By Thomas Helm February 8, 2021, Practice Insight from IFLR The upcoming MiFID II/MiFIR review will be less a “tidying up” than a wholesale reform that attempts to address a diverse range of priority areas, according to the European...Posted on Tue, Feb 16, 2021 @ 11:04Barnier Signals More Delay for London Banks Eyeing EU Market
By Tom Metcalf and Maria Tadeo February 11, 2021, Bloomberg Michel Barnier, the European Union’s chief Brexit negotiator, warned the bloc won’t be hurried into granting U.K. financial firms free access to the bloc’s single market. “Equivalence decisions are,...Posted on Tue, Feb 16, 2021 @ 11:03Europe Considers Steps to Curb Speculation in Carbon Market
By Ewa Krukowska February 11, 2021, Bloomberg The European Union is considering curbs on speculation in the world’s biggest carbon market where record prices have lured hedge funds in search of profits. EU emission permits jumped to an all-time...Posted on Tue, Feb 16, 2021 @ 11:01Exchange Boss Says UK’s Swiss Trading Nod Is a ‘Free Kick’ in a Losing Game
By William Canny February 4, 2021, Financial News The resumption of Swiss stocks trading in London is a small win for the City, but in the absence of a Brexit deal for financial services “its a free kick getting Switzerland...Posted on Tue, Feb 16, 2021 @ 11:01The Brexit Share Trading Exodus
By Annabel Smith February 11, 2021, The Trade In the final weeks of 2020, it was apparent that no agreement on equivalence was likely to be reached between the United Kingdom and the European Union with regards to share...Posted on Thu, Feb 11, 2021 @ 7:05European Funds Fret Over Merits and Risks of Ethical Labels
By Samuel Wilkes February 1, 2021, Risk Damned if they do and damned if they don’t. That is one way to describe the choice presented to asset managers in new European regulation. The choice is between an ethical and...Posted on Tue, Feb 9, 2021 @ 11:02End ‘Senseless’ Ban on Midpoint Trading, Asset Managers Urge
By Luke Clancy January 26, 2021, Risk Midpoint should be a valid execution price and investors permitted to trade at a half tick in Europe on all venues, say buy-side firms in fresh calls for regulators in the UK...Posted on Tue, Feb 9, 2021 @ 11:00CCP Open Access Will Be ‘Integral’ Part of MiFID Review
By Samuel Wilkes February 5, 2021, Risk European Union legislators are re-examining rules that allow listed derivatives users to choose where to clear their trades, the European Commission’s head of securities markets, Tilman Lueder, has told a virtual conference....Posted on Mon, Feb 8, 2021 @ 7:09ETFs Have Highest Percentage of Turnover Traded in the Dark, ESMA Report Finds
By Hayley McDowell February 4, 2021, The Trade Exchange traded funds (ETFs) have the highest percentage of dark trading in terms of overall volume traded compared to other asset classes, a report from the EU markets watchdog has shown....Posted on Fri, Feb 5, 2021 @ 7:09UK Treasury Opens Door to Ditching MiFID Open Access Rules
By Samuel Wilkes and Costas Mourselas February 2, 2021, Risk For years, the UK was the champion of European Union market regulations designed to foster greater competition in clearing services. Once the UK left the EU, enthusiasm for the project among the remaining 27 members dwindled. Now, the UK Treasury may...Posted on Wed, Feb 3, 2021 @ 7:01Investment Firms, Dealers Face MiFID II Review
By James Langton February 1, 2021, Investment Executive European securities regulators are launching a review of the investment industry’s compliance with new governance rules for financial products. The European Securities and Markets Authority (ESMA) announced that, along with the...Posted on Tue, Feb 2, 2021 @ 7:06Fronting the Dealing Evolution
By Hayley McDowell February 1, 2021, The Trade While juggling a multi-asset dealing desk in dramatic market conditions from her home office in rural South Lanarkshire, Kirstie MacGillivray explains that nobody on her team envisaged the global pandemic would...Posted on Tue, Feb 2, 2021 @ 7:04EU Launches Probe Into Investment Marketing Rules
By Najiyya Budaly February 1, 2021, Law360 Europe’s securities regulator said on Monday that it is launching a probe to ensure that the European Union’s rules on marketing financial products are being applied consistently across the bloc so that consumers...Posted on Tue, Feb 2, 2021 @ 7:03Advisers Left in Limbo Over ESG Suitability Rules Post-Brexit
By John Lappin January 28, 2021, Portfolio Adviser Advisers have been bombarded with messaging and marketing material regarding environmental, social and governance investing and sustainability in recent years. If anything the trend has accelerated during the pandemic. It is...Posted on Tue, Feb 2, 2021 @ 7:02ESMA Sets Sights on Commodity Derivatives
By Wendy Lisney January 26, 2021, Global Investor Group European regulator ESMA is looking for commodity derivatives experts to help assess the potential impact on energy, agricultural, and softs markets of MiFID II, the Markets in Financial Instruments Directive. The...Posted on Tue, Feb 2, 2021 @ 7:01EU Seeks to Cut Reliance on US Dollar, Other Financial Centers
By Jan Strupczewski January 19, 2021, Reuters The European Commission said on Tuesday it would seek to boost the international role of the euro and build European financial infrastructure so that the EU becomes more independent of outside...Posted on Tue, Jan 26, 2021 @ 11:03Looks Like We Are Creeping Toward Full Overhaul of Spot FX in Europe
By Andrew Saks January 19, 2021, Finance Feeds Should we take heed of the alarmist nature of ESMA’s view that the ‘disturbance’ of the FX market is a major reason for the FX Global Code to be brought in...Posted on Tue, Jan 26, 2021 @ 11:01The Industry Should Be More Than ‘Prescriptive Rules’
By Rachel Mortimer January 15, 2021, FT Adviser “In collaboration with the FCA, we managed to relax some MiFID regulations without harming clients in any way, and maybe the future doesn’t need to be only about prescriptive rules, and...Posted on Tue, Jan 26, 2021 @ 11:00European Commission Pushes for Consolidated Tape in Bond Markets
By Annabel Smith January 20, 2021, The Trade The European Commission has set out plans to push for a consolidated tape in the European primary and secondary bond markets following months of pressure from market participants. In the report,...Posted on Thu, Jan 21, 2021 @ 7:10Brexit Drives Swaps Trading to US Platforms
By Robert Mackenzie Smith January 19, 2021, Risk Up to 50% of euro and sterling interest rate swaps trading has moved from European and UK venues to platforms in the US since the start of the year, in...Posted on Thu, Jan 21, 2021 @ 7:05ESMA Issues Guidelines on Reverse Solicitation
By Bilal Jafar January 13, 2021, Finance Magnates The European Securities and Markets Authority (ESMA) addressed the issues related to a few questionable operations by the companies around reverse solicitation in the region. The regulatory authority mentioned that the...Posted on Tue, Jan 19, 2021 @ 11:00EU Needs ‘Masterplan’ to Grab Euro Finance From London
By Huw Jones January 18, 2021, Reuters The European Union needs a “masterplan” to move euro financial services from London to the bloc if it wants to expand the single currency’s role in a global economy dominated by the...Posted on Tue, Jan 19, 2021 @ 7:04French Regulator Questions Need for Share Trading Equivalence
By Samuel Wilkes January 15, 2021, Risk A senior French markets regulator has questioned the need for offering third countries an equivalence determination under European Union share trading rules, after the application of the rules to non-EU shares was clarified...Posted on Tue, Jan 19, 2021 @ 7:03EU to Drill Into “Dog’s Dinner” of Share Trading Data
By Huw Jones January 14, 2021, Reuters The European Union will complete a fresh study of share trading data before drawing conclusions from a comprehensive review of market rules, an EU official said on Thursday, as exchanges demand more...Posted on Thu, Jan 14, 2021 @ 7:03Trading Heads Call for Reform of Double Volume Caps
By Luke Clancy January 13, 2021, Risk Leading investment firms in the UK and Europe are calling for a revamp of the European Union’s regime for trading on unlit venues, after the UK financial regulator relaxed rules on dark...Posted on Thu, Jan 14, 2021 @ 7:02
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