Mifid 2

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Dr Chris Foster

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Bovill - the UK financial services regulatory consultancy - runs regular briefings. These are the slides from the February 2015 briefing on MiFID II. For more information visit www.bovill.com. Further information on the event is below: With the ‘Level Two’ advice published just before Christmas, this is the first of our 2015 series of MiFID II briefings. This session focuses on the investor protection elements of ESMA's advice including topics such as: • product governance to product intervention • client assets • remuneration • conflicts and inducements (dealing commission) • best execution and client order handling • information to clients. The briefing gives more details of our MiFID II toolkit and how this could help your project.

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Bovill - the UK financial services regulatory consultancy - runs regular briefings. These are the slides from the September briefing - the first of a series on MiFID II. For more information visit www.bovill.com. Further information on the event is below: MiFID brought major regulatory change to investment firms back in 2007. But technological strides and market developments since the financial crisis are now exposing weaknesses in the directive. MiFID II is a complete rebuild – aiming to close the gaps in the regulatory framework and introduce a ‘Mark 2’. Strong enough to protect the investment industry whatever the future holds, Mark 2 will also help achieve all of MiFID’s original aims by bolstering investor confidence. At over 200 pages, MiFID II is longer, broader and more granular than MiFID I. It increases regulatory requirements, may well bring new firms into its scope, and will require changes to the way some investment firms currently work. The first in a series of Bovill briefings on different elements of MiFID II, this introductory session provides: • a general overview of the directive • detailed timelines • the steps you need to start taking now. This briefing is relevant for all compliance officers of firms that undertake investment business in UK and Europe including those firms that are currently exempted from MiFID I.

Bovill Briefing Introducing MiFID II September 2014

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Markets in Financial Instruments Directive II (MiFID II) strengthens the best execution requirement embedded in MiFID by expanding disclosure. Among the directive’s requirements are provisions to ensure investment firms provide appropriate information to clients on their order execution policy and publish a list of the top five execution venues used in the previous year for each asset class. With a strengthened regulatory requirement comes the need to manage more and more complex data to achieve and demonstrate best execution. Join the webinar to find out about: - MiFID II best execution - Data requirements - Data management challenges - Approaches to compliance - Expert practitioner advice

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EXTENT-2016: Software Testing & Trading Technology Trends 22 June, 2016, 10 Paternoster Square, London MiFID 2 Requirements for testing and business clocks Dr. Sandra Bramhoff, Senior VP, Deutsche Börse Would like to know more? Visit our website: extentconf.com Follow us: https://www.linkedin.com/company/exactpro-systems-llc?trk=biz-companies-cym https://twitter.com/exactpro #extent2016 #exactpro

EXTENT-2016: MiFID 2 Requirements for testing and business clocks

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The new stringent MiFID II regulatory technical standards (RTS) is top of mind for Banks, venues, and participants. One of the areas of major concern and confusion are the new regulatory technical standards (RTS) for trade transaction record management and reporting for trades made to venues that support high speed trading i.e., almost all electronic trades. The new MiFID II RTS standards require all parties involved in a trade to capture, record, maintain and report all information related to the transaction life-cycle with precise time-stamps accurately synchronised to the world time standard - UTC (Coordinated Universal Time). Existing systems cannot do this. The reason the regulator wants to do this is to be able to retrospectively recreate the sequence of market actions that led to a particular market condition (possibly abusive behaviour) and forensically verify who did what, how markets reacted, and who is to blame. It is very difficult to meet these new MiFID II regulatory technical standards (RTS) and may cost many millions of dollars to replace or retrofit the existing trading systems with this new capability. In addition, they will incur the ongoing costs of remaining compliant amid changes in their technology and amid future regulatory requirements. The banks and venues are concerned that even if they spend this money, their implementations may not meet the requirements and intention of (MiFID II) the new regulations, and failure to be compliant may result in significant fines. Corvil is introducing a novel new solution that addresses this problem - it is able to meet these new MIFID II requirements for UTC-synchronised trade transaction record management without requiring a retrofit or re-architecture of trading platform components.

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The compliance deadline for Markets in Financial Instruments Directive II (MiFID II) has been pushed back a year to January 2018, giving financial institutions within its scope an opportunity to take a strategic rather than tactical approach to implementation. But whatever the approach, the scale of the regulation is large and the data management challenge complex, requiring firms to work on compliance solutions well ahead of the deadline. Join the webinar to find out more about: -Regulatory guidance -Progress on data management -Outstanding challenges -Best practice approaches -Meeting the deadline

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AIMA Hedge Fund Manager Training, 13th April 2016. Hosted by Mike Booth and Andrew Henderson this session was focused towards portfolio managers, dealers and compliance teams. We had 70+ hedge fund managers register and we covered topics including: • The FCA’s rules applicable for front office controls • The lessons that can be learned from the recent front office controls fines • The respective roles of compliance and front office teams • What firms are doing in practice • A brief overview of the new MAD II / MiFID II rules in the context of front office controls

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