- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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.
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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.
Four years post-Brexit, London-based Barclays became the first British bank to scrap bonus caps for its traders that were meant to curb excessive risk-taking with client cash, improve corporate governance, and restore faith in an industry most working people still hold responsible for 15 years of economic misery.
