- 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.
Any product that uses AI needs to be safety assessed for its entire lifespan under new rules that went into effect recently across the EU. Experts warned companies using AI to tailor products could be classed as “manufacturers” and face the same duty of care as developed.
