- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
MiFID II is looming, and it’s not just European companies’ problem—it will affect U.S. firms as well. An in-depth look at the rule provides companies with a checklist to assess their readiness.
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The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
The expansion of the scope under MiFID II will make it far likelier for market participants to be caught within EU regulators’ crosshairs without even realizing it. Some tips for avoiding that fate are inside.
As the slate of EU financial regulations known as MiFID II goes into effect in January, U.S. firms may be rudely awakened by new transparency demands, real-time reporting requirements, and “research unbundling” rules.
