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Mifid II—Navigating Intent

The Panel

  • Bill DiPietro, Vice President, Product Management, Digital Reasoning
  • Michael O’Brien, Head of Product Management, Risk and Surveillance Solutions, Nasdaq
  • Steve Fribbens, Executive Director - Head of Compliance Surveillance, CIBC
  • Manny Alicandro, General Counsel and Head of Regulatory Technology, MANA Partners
  • Moderator: James Rundle, News Editor, Waters Technology

The implementation of the revised Markets in Financial Instruments Directive (Mifid II) on Jan. 3, 2018 will introduce many new responsibilities and obligations for market participants. A panel of experienced industry professionals share their insights on the impact these will have on trade surveillance.
Key topics discussed include:

  • Where Mifid II and the Market Abuse Regulation overlap, and the different expectations from regulators for Mifid II
  • For venues ranging from regulated markets to organized trading facilities, how will the new rules affect trade and communications surveillance, and what do participants need to know?
  • How firms can implement a program of best practice ahead of January 2018, and what regulators will be expecting in the short term
  • Where technology can assist with this, and whether emerging technologies—such as artificial intelligence and its various subsets, including machine learning and natural-language processing—play a part
  • The operational cost and regulatory consequences of failing to comply with the requirements, and who is subject to them
  • The steps firms must take to avoid these consequences

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