Nucleus, the adviser-built wrap platform has collaborated with Zero Support managing partner Phil Young to publish a 20-page booklet for advisers to ensure that they are fully MiFID II-compliant ahead of the January 2018 deadline. The
In preparation for MiFID II coming into effect on the 3rd of January 2018, FundApps have published a whitepaper covering everything compliance professionals need to know about the new position limits rules in the European Union.
On May 31, the European Securities and Markets Authority (ESMA) published an opinion (Opinion) regarding whether third-country trading venues are within scope of the post-trade transparency regime of the Markets in Financial Instruments Regulation (MiFIR). ESMA
On May 3, the UK Financial Conduct Authority (FCA) published a document containing reporting instructions (Instructions) for trading venues and investment firms submitting position reports under the revised Markets in Financial Instruments Directive (MiFID II). The
Neil Robson, a regulatory and compliance partner with Katten Muchin Rosenman LLP, focuses his practice on counseling hedge and private equity fund managers and other investment advisers on operational, regulatory and compliance issues. He regularly addresses Financial
Nathaniel Lalone, a partner at Katten Muchin Rosenman UK LLP, has a broad range of experience in the regulation of financial products and financial markets, and frequently provides regulatory and compliance advice to trading venues, clearing houses