Brexit: What Does This Mean for MiFID II?

June 29 2016

In the wake of the UK voting to leave the European Union, firms may now feel unclear as to whether the incoming MiFID II regulations will continue to apply to their businesses or not. With many firms already unsure of their obligations under the Directive, there is a danger that Brexit could compound the problems caused by a general lack of engagement with MiFID II and lead to complacency throughout the industry. But the FCA has released a statement which makes the facts very clear: MiFID II will still apply in the UK and firms must continue with implementation plans for the incoming legislation.

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MiFID II - Clarity on Mobile Call Recording

June 06 2016

Introduction

With the regulatory landscape of today’s business world in a state of constant flux, implementing a mobile call recording solution that is robust enough to meet today’s complex compliance obligations and yet is flexible enough to absorb the legislative and technical challenges that tomorrow may bring, can be a difficult hurdle to overcome.

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Clarity on Recording Face-to-Face Meetings Under MiFID II

March 15 2016

Introduction

With less than two years to go until the January 2018 implementation of MiFID II, many firms are still unprepared for the full impact of the new regulations. The sheer scale of complex technical challenges, combined with a widespread lack of engagement has left large numbers of firms without adequate compliance strategies in place. If these issues remain unaddressed, some firms could find themselves facing the real possibility of financial penalties come 2018.

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MiFID II: Concerning Communications Recording

Februaury 16 2016

Introduction

The Financial Services industry in Europe is facing the biggest shake-up of regulatory legislation for over a decade. Driven in part by widespread consumer mistrust, the recasting of the Markets in Financial Instruments Directive, known as MiFID II and the accompanying Regulation, MiFIR, will put into place far-reaching new rules, which aim to strengthen investor protection, prevent market abuse, increase transparency and re-establish consumer trust.

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MiFID II - An Opportunity


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This white paper will answer:

Who does MiFID apply to?

What does this mean for your business?

How does MiFID present an opportunity?

What should your buiness do next?

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