MiFID
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ESMA, National Watchdogs Assess Application of MiFID II
By Paige Long
June 4, 2019, Law360
The European Union’s top securities regulator has launched a new initiative with national regulators across the bloc aimed at making sure sprawling trading …
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FCA to transition to “enforcement mode” soon – Duff & Phelps
By James Thursfield
June 3, 2019, Global Investor Group
Duff & Phelps expects the U.K. financial markets watchdog to step up its enforcement of transaction reporting requirements soon, which might …
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MiFID rules inhibit use of multiple platforms by advisers
By David Thorpe
May 30, 2019, FTAdviser
The MiFID II rule requiring advisers to notify clients of a 10 per cent drop in their portfolio is putting some advisers off …
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E.U. advisory firms still not complying with MiFID II
By Thomas Helm
May 30, 2019, Practice Insight from IFLR
The majority of advisory firms are still not fully compliant with the FCA’s Prod Rules and their E.U. equivalents, according …
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Fund groups add MiFID top-ups as Brexit fears persist
By Owen Walker
June 1, 2019, Financial Times
Dozens of global asset managers have been given permission by regulators in Dublin and Luxembourg to set up investment operations outside the …
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Poor Data Hampers Best Execution Analysis
By Shanny Basar
May 31, 2019, Markets Media
Fund managers are frustrated with the lack of uniformity and standardization of data from the sell-side which they need to fulfill their …
Read More →Market Structure Weekly with Larry Tabb: May 31, 2019
Amid signs of a trading slump at the big banks, including cutbacks to Deutsche Bank’s investment bank, TABB Group founder and research chairman Larry Tabb kicks off this week’s market …
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Desperate Times Call for New Approaches: Substantial Underperformance of European Managers Post-MiFID II Requires Fresh Thinking
By Neil Scarth, Kite Edge
Originally published on the TABBFORUM
Post-MiFID II, U.S. managers appear to be outspending their European counterparts on market research, and European managers’ relative performance has …
Read More →Market Structure Weekly with Larry Tabb: May 24, 2019
Things are getting tough on Wall Street, notes TABB Group founder and research chairman Larry Tabb at the top of this week’s market structure video, from Deutsche Bank’s investment banking …
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Conditional Orders: The Great Liquidity Aggregator
By Campbell Peters, TABB Group
Originally published on the TABB FORUM
As the U.S. equities marketplace has grown more and more fragmented, conditional orders quickly are becoming the de facto …
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