Waters Wavelength Podcast Episode 77: A Look at Mifid II Developments & the Use Cases for Behavioral Analytics
This week, Anthony and James take a look at recent developments pertaining to Mifid II and then they talk about how firms are increasingly turning to behavioral analytics platforms to better examine trading decisions.
This week James and Anthony look at recent regulatory developments in Europe as the Financial Conduct Authority (FCA) has releases its long-awaited study of the asset management industry and the UK, and final policy notes relating to Mifid II. They next turn their attention to this month’s Waters magazine cover story—a profile of Cheyne Capital’s Josh Jacobson—and examine how some vendors are entering the behavioral analytics space.
1:55 James gives an overview on recent FCA announcements and guidelines.
4:45 Change is coming for the way asset management is done in the UK.
7:00 Timeline for Mifid II developments going forward.
11:00 James and Anthony switch gears and look at this month’s cover story on Josh Jacobson.
13:45 What’s the case for behavior analysis of portfolio managers and traders.
18:30 James rants about Major League Soccer (MLS).
Links to articles discussed:
Waters Cover Profile: Improving Performance: Josh Jacobson, Cheyne Capital
FCA Clarifies Approach to Research Unbundling Under Mifid II
Tech Investment Could Help UK Asset Managers Meet FCA's Calls for Sweeping Changes
Contact Info
As is the case with everything we do, we'd love to get some feedback from our listeners. Feel free to reach out to Anthony via Twitter or email.
Anthony: @a_malakian; Anthony.Malakian@incisivemedia.com
James: @JimRundle; James.Rundle@incisivemedia.com
Past 10 episodes:
Episode 68: An Inside Look at IBM Watson
Episode 69: AQR's CTO, Neal Pawar, on Engineers & Open Source
Episode 70: A Look at Liquidnet's Acquisition of OTAS
Episode 71: Social Data, Analytics and Trading
Episode 72: An Examination of the Muni Bond Market
Episode 73: The UK Election, Brexit & Fintechs; the Bloomberg Point-Port Integration
Episode 74: The RegTech Craze; Clearing Concerns
Episode 75: An Update on the Julia Programming Language; AI & Alternative Data; Digital Currencies
Episode 76: Radziemski Talks Machine Learning, Robotic Process Automation & Public Cloud Adoption
Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.
To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: https://subscriptions.waterstechnology.com/subscribe
You are currently unable to print this content. Please contact info@waterstechnology.com to find out more.
You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.
Copyright Infopro Digital Limited. All rights reserved.
As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (point 2.4), printing is limited to a single copy.
If you would like to purchase additional rights please email info@waterstechnology.com
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (clause 2.4), an Authorised User may only make one copy of the materials for their own personal use. You must also comply with the restrictions in clause 2.5.
If you would like to purchase additional rights please email info@waterstechnology.com
More on Regulation
Federal court moves to certify class in Cusip antitrust suit
The SDNY judge has handed a procedural win to plaintiffs, allowing swaths of end-user firms and third-party data vendors to join the class action.
Report once: will Esma’s €1bn reforms deliver the full picture?
Critics say plan to merge three reporting regimes will see scant returns, and won’t mesh with single-sided reporting.
Reasoning agents enter the onboarding process for banks
The next phase for banks in the KYC/AML space will be using agentic AI to replace sequential, siloed checks with orchestrator agents, IBM technologists say.
SEC gunning to take over CAT in 2027
Chairman Atkins has plans for the SEC to run the Consolidated Audit Trail directly. Industry participants are split on the idea.
Managing regulatory transformation through a Dual-Flow Operating Model
Darshan Shah presents an operating model that enables project teams to implement complex regulatory programs, preserve business continuity, reduce risk, and prepare enterprise platforms for regulatory change.
The complexity of using AI to tackle compliance
The Waters Wrap: Law firms are introducing new tools to help with regulatory compliance, potentially encroaching on regtech vendors’ territory, Wei-Shen writes.
SEC denies 24X’s requested SIP exemption, for now
Start-up exchange cannot begin its overnight market session before the equity data plans’ hours are scheduled to be extended on December 6. But that’s only half of it.
Cyber audit leaves Eiopa with a credibility problem
The Dora supervisor charged with overseeing critical tech vendors has been critiqued for IT security failings.
