ACA's Burt Esrig illustrates how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
Insights and guidance from ACA's team of experienced compliance and technology professionals.
Earlier this week, Andrew Bailey Chief Executive at the FCA, gave a keynote speech at the European Independent Research providers association. During
As of today, 3 January, the EU’s Markets in Financial Instruments Directive II (MiFID II) has been live for a year. However, firms – and the Financial Conduct Authority (FCA) – are continuing to encounter challenges around the implementation of this significant package of changes.
The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at an ACA Compliance Group (Europe) briefing held in London in mid-November.
FCA assess the impact of MiFID II by asking asset managers to provide detailed information
26 September 2018
MiFID II will have broad repercussions when it comes into effect at the beginning of next year – impacting every sector and market participant in the financial services industry.
MiFID II’s requirements around research unbundling have attracted much commentary in terms of their impact on both buy and sell-sides. As providers of research services, the obligation to unbundle falls on the sell-side, and as such will trigger significant changes in their operating models.
A key pillar of the MiFID II regime is the record keeping requirements that underpin many of the new or enhanced obligations. Now seven months after MiFID II implementation, what challenges have these requirements created for the buy-side? We discuss this with senior compliance consultants, Charlotte Malin and Matthew Chapman.
On Thursday, February 4, 2016, from 2 p.m. to 3 p.m.
On Thursday,26 January 2017, from 1:30p.m - 2:30p.m.
On 7 April 2016 the European Commission (“EC”) published its final proposals on certain investor protection measures under MiFID II, including the much debated inducements rules and permitted ways to pay for research through dealing commissions.