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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The Countdown to MiFID II – are you prepared?

Februaury 16 2016

What is MiFID II?

The Markets in Financial Instruments Directive, or MiFID, has formed a cornerstone for the regulation of European investment services since its introduction in 2007. MiFID II is the second casting of the Directive issued by the European Commission and is due to come into force in January 2018. The aim of the new legislation, together with the accompanying Regulation on markets in financial instruments (MiFIR), is to overhaul, strengthen and extend the existing regulatory system in the EU.

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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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