The European Securities and Markets Authority (ESMA) has published a report outlining its key takeaways from the 2025 call for evidence on the ...

The Markets in Financial Directive (MiFID) is a European Union law that provides harmonized regulation for investment services across the 31 member states of the European Economic Area (the 28 EU ...

A main driver for the recently announced MiFID II compliance rules was European Regulators saw unfairness in the practice of asset managers using soft dollars in their fees for research purposes.

The cost of complying with the European Union’s (EU's) gargantuan Markets in Financial Instruments Directive II (Mifid II) is not just forcing smaller independent financial advisory firms to revise ...

The second Markets in Financial Instruments Directive (MiFID II) has now become effective as a part of EU legislation. MiFID II regulates firms that provide any services to clients linked to financial ...

Greenwich, Conn.-based Indata launched the iPM Epic platform in 2014 and claims to have made 350 alterations to the system ahead of the incoming Mifid II regulation in Europe, with specific focus on ...

Alpha FMC (Alpha) has partnered with Kaizen Reporting (Kaizen) to provide independent transaction reporting assessments for specialist wealth managers and smaller asset managers to help them to meet ...

U.K. financial regulation includes a small and unusual provision, the so-called “MiFID override,” which prioritises the EU’s MiFID II regime over the U.K.’s own regulatory framework when determining ...

Ullink’s automated trade reporting solution covers cross-asset class reporting requirements and provides a centralized dashboard displaying reporting status and abilities to amend or cancel reports ...

A survey last year found more than three-quarters (77 per cent) of pension schemes feel they do not necessarily have the operational infrastructure in place to accommodate change, such as the ...

From 2 August 2022, a client’s sustainable preferences must be included in the suitability process. Morningstar can help you navigate these upcoming changes. The core MiFID II principles of investor ...