LEIs required soon
The Legal Entity Identifier initiative was born out of the G20 measures put in place to reduce systemic risk, at the same time as the declaration which led to rules…
FCA issues further reminder for firms to apply for MiFID authorisation
The UK's Financial Conduct Authority has issued a further update reminding firms that need to apply for authorisation or a Variation of Permissions under MiFID II to apply as soon…
Developments in MiFIR’s open access arrangements
Articles 35 and 36 of MiFIR and the associated regulatory Technical Standards (RTS 15) and Delegated Act legislate for open access between trading venues and CCPs so that market participants…
MiFID II countdown – issues and lack of readiness and new information
With just over 3 and a half months until the start of MiFID II, there is a great deal for firms to do, especially those who are Investment Firms. Yesterday…
MiFID II and GDPR interaction
The Global Data Protection Regulation applies from May 2018 and contains many requirements relating to the personal data. Controllers and processors of data in scope must comply with the rules…
FCA publishes position limits page
The UK's Financial Conduct Authority has published a position limits page, which lists the contracts on which a "bespoke" limit will be set before 3rd January 2018, under the MiFID…
FCA cancels authorisations
The UK's Financial Conduct Authority (FCA) has issued its latest "Regulation Round Up" (see here). The document discusses enforcements against authorised firms who have not complied with all of the…
FCA Q+A on MiFID II Commodity Derivatives
The UK's Financial Conduct Authority has issued a Questions and Answers document covering the parts of MiFID II relating to commodity derivatives. It can be found here. It covers several…
First MiFID II position limits set
ESMA has agreed the first position limits under MiFID II for some agricultural commodity derivatives contracts on the MATIF exchange. The way in which position limits work has been outlined…
ESMA updates MiFID II specifications
ESMA has updated the technical documentation relating to transaction reporting, order record keeping and clock synchronisation, correcting and updating several issues in the original document. The updates span a few…
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