Regulation
Waters Wavelength Podcast Episode 103: Mifid II is Now Law; How to Apply for the Women in Data & Tech Awards
Anthony and James take a look back on the week that was in Mifid II and give insights on how best to apply for the Women in Data & Tech Awards.
As Mifid II Debuts, Full Compliance Remains Elusive
Market participants say much remains to be done as Europe debuts new rules.
What to Do About Mifid II
Europe’s regulatory big bang arrives today as an evolving set of rules rather than a finished product.
New Dawn in Europe as Mifid II Goes Live
Updated trading rules to have significant impact across all asset classes.
Markets Brace for Mifid II’s Start
Fraught times at the Christmas table as tech specialists rush to implement last-minute changes.
Law & Disorder: US Preps Defense Against Mifid II
As Mifid II's deadline approaches, US firms affected by the rules are still waiting for regulators to resolve crucial conflicts between European and American laws, and are likely to be making adjustments well after the deadline has passed, reports…
Citi Pays $11.5M in Finra Fines and Compensation for Ratings Failings
Finra says Citi's inaccurate ratings led to numerous porblems for portfolio manager clients and retail investors.
Way Fund Managers Taps OTCFin-Morningstar Combo for Priips Compliance
The UK-based fund manager selected the OTCFin-Morningstar joint service following a "rigorous" selection process and proof-of-concept, officials say.
Top Stories of 2017: Best of Sell-Side Technology
Regulation may have dominated the headlines this year but advances in machine learning and artificial intelligence were also high on the agenda.
December 2017: Mifid II: The Gift that Keeps on Giving
If you’ve left your Christmas shopping until the last minute, you’re not alone: Many financial market participants have also fallen behind with their plans for the holidays—and specifically for New Year, after which the second iteration of Europe’s…
2017: The Year Mifid II Grinds into Gear
WatersTechnology extensively covered all the key Mifid II developments over the past 12 months.
Swedish FSA Grants Nasdaq APA License
Nasdaq Nordic now holds APA and ARM licenses for reporting trades on behalf of European investment firms.
The KIDs Are Alright (But the Priips Still Have Issues)
Europe’s Packaged Retail and Insurance-based Investment Products becomes law on January 1, 2018. In-scope market participants racing to meet its significant data and reporting challenges all face the same hurdle: how to calculate implicit costs. Jamie…
API Tech Could Cure Systematic Internalizer Headaches
As the industry navigates new responsibilities surrounding systematic internalizer rules under Mifid II, QuantHouse argues that APIs hold the key to compliance with minimal maintenance. Jamie Hyman reports.
UPDATE: ESMA Grants Six-Month Grace Period for Mifid II LEI Compliance
Banks and trading venues will be given an extra six months to comply with LEI requirements
ESMA Preps for Machine-Readable Financial Reports for 2020
Officials say the new reporting standard will eliminate manual processing and re-keying of data from EU-based issuers' financial reports.
Waters Wavelength Podcast Episode 100: Bitcoin Futures...Again
Dan DeFrancesco makes his return to the podcast to talk about bitcoin futures and why he wanted to start this podcast in the first place.
Sifma Adds Voice to CAT Personal Information Row
Lobby group is looking at other types of data that it can suggest to the SEC for use in the CAT.
BMR: Anything but a Trivial Undertaking
The Benchmarks Regulation, set to come into force in January next year, has significant consequences for firms that provide, contribution to, and use of a range of benchmarks.
Out with Old, in with the New (Regulation)
As 2017 limps to the finish line in what has been an often draining year, John previews what the sell side will be concerned with going into 2018, or as it is better known, the Year of Mifid II.
70 Minutes with Steven Maijoor
Aggelos Andreou looks back on some of the topics of conversation that didn't make his profile of Esma's Steven Maijoor.
Compliance Officers Face Challenges in Understanding AI
Technology such as AI and machine learning can help compliance officers catch fraud, but more transparency, education and stronger data is needed, experts say.
The Battle of Paris: How Esma Fought to Save Mifid II
For four years, regulators had to face fierce objections from groups of market participants that were unhappy with new European rules.