Category: Regulatory compliance
Linda Middleditch, Chief Product Strategy & Engineering at Itiviti speaks to Best Execution about increasing efficiency and cost effectiveness in the post-trade space.
I am writing this from my home in Hong Kong, not far away from the border of China and only 900 kilometers away from Wuhan, the initial epicenter of the...
Pre COVID-19, Business Continuity Planning (‘BCP’) for the typical front-office employee generally meant an enforced annual trip to the Disaster Recovery (‘DR’) site.
The respective governments struggle to keep their societies working while at the same time balancing the consequences of the outbreak.
In recent weeks we have seen a continuous selloff in the stock market, triggered by real economic fears caused by the global Coronavirus (COVID-19) outbreak.
With the risk of the UK crashing out of the EU without a deal eliminated, Feb 1st will mean the start of a transition period of 11 months where everything...
This second article summarizes the key regulatory challenges raised by ESMA regarding periodic auctions.
On June 11th 2019, the European Securities and Markets Authority (ESMA) published its final report on periodic auctions for equity instruments, in response to a call for evidence issued in...
Regulators have laid down the law as to what they expect of broker-dealers in terms of pre-trade risk controls for both high and low touch trading.