MiFID II Webinar and Q&A with BroadPeak and Katten Muchin Rosenman LLP

Word has spread since the first webinar we did on this subject and after multiple requests we are repeating the webinar for those who missed the first one.

The webinar on 26th April 2017 at 15:00 GMT, 16:00 CET and 10:00 EST will discuss the latest developments in relation to MiFID II / MiFIR transaction reporting, position reporting and […]

By |April 19th, 2017|News, Regulatory|Comments Off on MiFID II Webinar and Q&A with BroadPeak and Katten Muchin Rosenman LLP

Conference for ESMA Updates on MiFID/MiFIR/EMIR/SFTR Reporting

BroadPeak will be exhibiting at the March 28th Infoline conference in London.  Come to learn from and speak with regulators, repositories, end-users, and service providers.

30% discount by using promo code FKM63482BPK or click directly below.

Sign up »

Specific topics we will be discussing include:

Difference between trade reporting and transaction reporting
Ensuring non-duplication of trade reporting
Validation submissions and keeping […]

By |March 22nd, 2017|News, Regulatory|Comments Off on Conference for ESMA Updates on MiFID/MiFIR/EMIR/SFTR Reporting

BroadPeak Partners with Unavista for MiFID II Trade Reporting

NEW YORK, NY (PRWEB) MARCH 16, 2017

Broad Peak Partners announces a partnership agreement with the London Stock Exchange’s UnaVista for MiFID II. A recognized leader in software integration, BroadPeak Partners is the developer of K3, an integration platform that seamlessly moves data from one application to another, and named by TechCrunch in 2012 as one […]

By |March 16th, 2017|News, Regulatory|Comments Off on BroadPeak Partners with Unavista for MiFID II Trade Reporting

Death, Taxes, and MiFIDII

We haven’t even got everyone back in the BroadPeak offices after the holidays but we are already slammed with MiFID II requests and enquiries. To try and make everyone happy we are doing a variety of different events for which you are welcome to sign up:

London dedicated week of K3 demos – Jan 9 – […]

By |January 5th, 2017|News, Regulatory|Comments Off on Death, Taxes, and MiFIDII

How To MAR- A Commodities Primer

We’ve  recently had some very interesting conversations with companies about MAR.  Despite going live in July 2016, it’s clear that companies are falling into two camps.  Those that are doing their best to ignore it.  And, those that are really grappling with some of the finer points of surveilling manipulative behavior.  Things like:

When does a […]

By |April 29th, 2016|Opinion, Regulatory, Technology|Comments Off on How To MAR- A Commodities Primer

Commodities Surveillance | You’ve Been “MAR’d”

You know what?  Change is like poetry…

….and most people absolutely hate poetry*.

 

This is going to be one of those “Difficult Conversations”.  You know, the kind they teach you about in Business School. We’ve got to talk about some difficult things and find common ground toward a way forward.  So here’s the situation:

MAR (Market Abuse Regulation) […]

By |March 21st, 2016|Regulatory|Comments Off on Commodities Surveillance | You’ve Been “MAR’d”

ICE Releases New Wash Trades FAQ

This month the Intercontinental Exchange (aka ICE) released a revised Wash Trade FAQ document.  This isn’t simply arbitrary guidance.  It comes after considerable review with the CFTC, who list it along with the previous edition on their site.  The last version was issued a little over 6 years ago and the new edition addresses washing in context of the […]

By |February 16th, 2016|Regulatory|Comments Off on ICE Releases New Wash Trades FAQ

The Good Shepherd of Compliance Data

Post the financial crisis of 2008, financial firms that trade directly with other firms (as opposed to a listed exchange/marketplace) are subject to an ever-increasing number of regulatory requirements. Think Dodd-Frank, EMIR, REMIT, MiFID II, and their analogues in each regional jurisdiction around the globe. While some of these regulations are broad in scope, at […]

By |November 4th, 2015|Opinion, Regulatory|Comments Off on The Good Shepherd of Compliance Data

BroadPeak at ETOT and FIA

The first week of November 2015 is a busy one for BroadPeak. We will be at the Energy Trading Operations & Technology Summit in London and the FIA Futures & Options Expo in Chicago.

 

ETOT – Come and see us at our stand in the main exhibition room and make sure to attend the session […]

By |November 2nd, 2015|News, Regulatory|Comments Off on BroadPeak at ETOT and FIA

The Weekly Regulator- “Trust Me, I’m A Vendor”

So many exciting!  vendor!  press releases! about MiFID II total readiness.  But if you have not even started on MiFID II yet, don’t worry.  This is hype.

From what we gather…there will be not even be ARMs (Approved Reporting Mechanisms) under MiFID II.

MiFID II is going to have what are called Designated Reporting Service Provider (DRSP), […]

By |October 21st, 2015|Regulatory, Uncategorized|Comments Off on The Weekly Regulator- “Trust Me, I’m A Vendor”
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