The implementation of Mifid II in January 2018, along with the existing Market Abuse Regulation (MAR) introduced new responsibilities and obligations for market participants
The revised Markets in Financial Information Directive (Mifid II) went into effect at the start of 2018 and, as with any significant regulation go-live, there were some hiccups. Three months later, there are still gaps that need to be filled –…
While the consolidated audit trail (CAT) may have missed its initial November go-live date, the project is far from over. Broker-dealers will still need to report to the system when compliance deadlines are finalized, and it may be wise to begin…
Know your client (KYC) is now more important than ever. With regulatory compliance remaining onerous, capital market firms need to be heavily dependent on the collection, processing and management of client and counterparty data, documentation and…
This webinar—which features speakers from Axa Investment Managers and RBC Insurance—will look at specific applications of machine learning and other forms of AI in finance.
Sponsored webinar: Tradeweb
Sponsored webinar: OneMarketData
Sponsored webinar: SIX Financial Information
In this webinar sponsored by MarkLogic and Intel, industry experts discuss addressing data management head-on to create a GRC strategy and build a better business
This webcast, sponsored by SmartStream, explores the benefits of a utility model for dealing with firms' fees and expenses.
Archive recording of September 28 webcast on managing risk profile data for compliance