SI Rules Switch from Optional to Mandatory Sept. 1

Half of the systematic internalizer obligations will soon become compulsory.

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Firms dealing above a threshold set by the European Securities and Markets Authority (Esma) are required to be an SI for those instruments. 

Peter Moss, Smartstream RDU

“Suddenly, the SI regime moves from a voluntary code to something that is mandated by the regulators,” says Peter Moss, CEO of Smartstream Reference Data Utility, which operates the SI Registry in collaboration with seven Approved Publication Arrangements (APAs). “I think there’s a general perception across the industry that that

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