Article on regulatory change and architecture
See here for an article by Ian Sutherland on The OTC Space about implementing regulatory change and technology. While the article is focused on banking , the energy and commodity…
Article on UTIs
IOSCO, BIS and OICV recently issued a report (see here) on the harmonisation of Unique Transaction Identifiers across different jurisdictions. This post by Irene Mermigidis of REGIS-TR examines this issue, and…
Articles on alleged manipulation, non manipulation and breaches of position limits
See here for an article on the India based "Money life" web site about alleged manipulations in currency and commodity markets using spoofing and other typical manipulation techniques. The allegations…
Broadpeak Partners and Unavista announce MiFID II partnership – and a webinar
Broadpeak Partners, who offer the "K3" product, have announced a partnership with Unavista (part of the London Stock Exchange group) to deliver MiFID II and MiFIR functionality. The press release…
Industry associations suggest Q+A on position reporting
Several trade associations, including FIA, EFET, GFMA and ISDA have proposed a questions and answer document to ESMA on position reporting under MiFID II. The document can be found here. If…
Article on ISINs
The use of International Securities Identifier Numbers (ISIN) will be greatly increased under both the new EMIR RTS, which starts to apply from 1st November, and also under the various types…
Position limits in the EU and US, and another MiFID II training course
Following the webinar by Nasdaq on real time position limits last week, the recording can be found here. The recording of Unavista's webinar on Position Reporting can be found here.…
IOSCO issues technical guidance on UTI harmonisation
IOSCO together with the BIS and OICV have issued technical guidance on the harmonisation of the Unique Transaction Identifier, which is hoped will lead to a global scheme to be…
European Commission publishes summary of equivalence decisions for non EU countries
The European Commission has created this web page which summaries the "equivalence decisions" made with respect to the recognition of the compliance of non EU countries. Equivalence recognition of a…
Two webinars on position limits and reporting
This Wednesday sees two webinars on the topic of position limits and position reporting, as defined in Regulatory Technical Standard 21 of MiFID II, and passed recently by the European…
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