MiFID II Tag

On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…

ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…

Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed…

Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….

NEW YORK, NY – Compliance Solutions Strategies (“CSS”), the leading global RegTech platform backed by CIP Capital that enables compliance…

In late June, PIMFA, the UK wealth management association and TISA, the Tax Investment and Savings association published the “MiFID…

In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms…

It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view…

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance…

Some industry anxiety was assuaged on October 26 with three no-action letters that offer relief for some US regulated broker-dealers and…

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