Unscrambling MiFID II
The Markets in Financial Instruments Directive (“MiFID”) consists of a framework of EU legislation that regulates financial institutions. Banks, brokers and asset managers who provide investment…
How to achieve operational compliance and reduce your cost of compliance – continued
In one of our previous articles we ended with a plea for a more fundamental approach to look at the operational compliance processes in the 1st line of defense itself. Even big international…
MiFID II and Investor Protection
Since the 2008 financial crisis, equity markets around the globe have recovered impressively and are hitting new records. What has not recovered in the past decade however, was the trust of the…