France takes one step further towards Mifid
The systems and controls elements of the Markets in Financial Instruments Directive is the core of the EU legislation. Compliance officers and operational risk managers alike need to check the detail to ensure they don't get caught out in November....
Clifford Chance has been ranked number one in the first annual OpRisk & Compliance survey of law firms engaged in risk and compliance activities for financial services firms. But as the results attest, risk and compliance is a hot area for global law...
FSA issued more Mifid guidance for beleaguered firms
Handysoft-sponsored survey suggests only four in ten financial institutions will be ready to implement Mifid by the November 1 deadline.
Reuters has launched a package of measures to help clients to comply with Mifid.
CESR publishes responses to its consultation paper on transaction reporting under Mifid
EBF sees fundamental flaw in non-equities market transparency under Mifid.
Equiduct out with Mifid White Paper.
Mifid, Basel II, SOX - the pace of regulatory change has increased substantially over the past few years, which has led to the large-scale expansion of compliance departments for financial services firms. But the recruitment market is finding it hard...
Each time a directive is altered in the run-up to implementation, the resulting rewording and reprinting of documentation can prove almost as challenging as getting the changes accepted by the industry. When that directive is as large as Mifid, a whole...
Equiduct has appointed Willy Van Stappen as chief operating officer.
Think-tank JWG-IT Group releases Mifid whitepaper: MiFID: The roadmap to implementation.
Responses to CESR's consultation on passporting and inducements cause more confusion for the regulator
LSE comes up with a raft of product ideas to aid Mifid implementation
The European Commission hopes its new website will help with Mifid implementation
CESR is out with the first in a series of Level 3 recommendations for the implementation of Mifid.
The Committee of European Supervisors (CESR) has published a call for evidence on non-equities markets transparency.
CESR has published its long awaited guidance on Mifid best execution and transaction reporting.
The FSA sends notification to European Commission for additional requirements for Mifid under Article 4.
New regulations in the US and Europe are pushing email retention and storage up the agenda of financial services firms. Peter Madigan explores the challenges and the pitfalls of the changes for compliance teams
In the first of a series of six articles on Mifid, Victoria Pennington seeks clarification on a number of issues swirling around the best execution debate
Compliance with the November deadline for Mifid is what firms are focusing on. Business opportunities come second, reports Ellen Davis
When it comes to AML initiatives, companies are displaying a worrying disregard for the perils of this criminal threat, despite recognising it as such. By Ellen Davis