Tag: MIFID

Modernisation is firmly on the agenda for regulated financial services firms. Data estates have become increasingly complex, costly to maintain and difficult to defend...

Kaizen has successfully completed its first external funding round, securing a £42m investment from Guidepost Growth Equity.

Transaction reporting is a necessary requirement for countless regulations, and yet Novatus Advisory co-founder Matthew Ranson believes many firms are getting this process wrong, and they might not even be aware of it.

The forthcoming Markets in Crypto-Assets Regulation (MiCA) aims to standardise the regulatory landscape for crypto-assets within the European Union (EU). This is particularly significant for crypto-assets that do not currently fall under existing financial services legislation. My Compliance Office (MCO) recently explored how companies can prepare for MiCA.

A survey conducted by IHS Markit and Pirum has found over 70% of regulatory respondents plan to consolidate their diverse reporting processes under a single platform.

European RegTech leader MAP FinTech has underlined how RegTech companies can remain compliant with best execution obligations going forward.

The European Securities and Markets Authority (ESMA) has released the final report on the functioning of the regime for SME Growth Markets as part of MiFID/MiFIR.

The Central Bank of Ireland has fined wealth management firm J&E Davy €4.1m after finding four breaches to MiFID regulations between July 2014 and May 2016.

GDPR has not just been burdensome on financial services, but offered new opportunities, whether it’s getting firms to actually understand their data or even improving existing regulations, according to a panel at the Global InsurTech Summit 2019.

The UK’s Financial Conduct Authority (FCA) has fined Goldman Sachs International £34.3m for failures with transaction reporting.