Further to the very successful legal and operations focused webinars we completed with Katten Muchin Rosenman LLP on MiFID II limits and transaction reporting BroadPeak will now be holding a webinar on how technology solves these challenges. The presenters will give best practices for meeting these regulatory challenges efficiently with technology and also give a […]
No matter where you are in the world- Irrespective of whether you fall under MiFID II –If you trade commodities in Europe you are subject to MIFID II limits.
This and so much more in the webinar below.
AIMA, BroadPeak and Katten Muchin Rosenman had a great webinar and Question and Answer session last week on MiFID II transaction reporting and position limits. We had just over 350 attendees and could not quite get to all the questions. So, we have put our heads together and are publishing the first set of questions […]
Name 3 technologies (software, open source, other) that made a significant positive impact for the enterprise in 2016.
Corporate IT departments are a tough place to be these days. On the one hand IT departments are constantly hammered by the business to execute, execute, execute. On the other hand they are handcuffed by some “Cargo Cult” […]
It has been a busy seven days in the world of regulatory position limits. First a new MiFID II position limits RTS was released as reported here and the CFTC re-proposed their own ‘Dodd-Frank’ limits regime. Most international firms will have to comply with both. So why has the CFTC limits announcement being getting so […]
Validation. There is a reason everyone is talking about it. If you do it wrong, your compliance personnel start pulling their hair out. As far as ESMA, Dodd-Frank and MiFID II trade reporting we are clearly in a world that is moving from low validation to one that is highly validated.
Com-Sci 101: Four Categories of […]
Trade Reporting. Ask anyone on the sell side or in commodities or derivatives about MIFID II and you will probably get a pretty solid “been there, done that”. Dodd-Frank, EMIR, REMIT, Canada; MIFID II does not look so bad. Sure, a few wrinkles like T+0 transparency reporting, but other than that we are probably good […]
It’s been wisely said before that “Little details have special talents at causing big problems”. In time for Dodd-Frank and MiFID II limits we have just rolled out a new version of K3 limits.
We just rolled out a new […]
It’s been all good news these days. Makes me think back to high school when I learned about the Stoics. Something to the effect of …destructive emotions are the result of an error in judgement. I suppose it could also be said that errors in judgement are the result of destructive emotions. Either way these […]
A really good article here from Baringa. The gist is focus on Policy and Plan. There’s a reason for that. Sure, you want all your order information from all exchanges and market-places. The bad news is that not all of them are remotely ready to go. There’s a little bit of a dark art […]