PPT-MiFID II

The biggest thing since MiFID I 24112016 The investment advisory regime The updated inducements rules The product governance process 3 Connected regulatory files MiFID II Jan 2018 Client information amp reporting. Jérôme SUTOUR. 26 . September. 2014. Who. pays the piper calls the tune…. Introduction – . Purpose. of . MiFID. 1. One of the goals of the original . MiFID. (. Markets . in Financial Instruments . Dr. Arjuna Sittampalam, research associate at the EDHEC Risk and Asset Management Research Centre; founder and CEO, Sage & Hermes. . P. reamble. Uncertainty. . . Major trends. Convergence. Electronic advances. How does pegging work?The pegging attribute can be used in combination with theNon-displayed condition. One useful pegging instruction is the Mid-point peg, where the Order automatically will put itse Systematic Internalisers for bond markets. July 2015. Author: Andy Hill. What is a systematic . internaliser. ?. MiFID I (2007) introduced the systematic . internaliser. (SI) regime for equity markets, where an SI for a particular instrument is ‘an investment firm which, on an organised, frequent and systematic basis, deals on own account by executing client orders outside a regulated market or an MTF’.. Systematic Internalisers for bond markets. Updated November 2016. Author: Andy Hill. What is a systematic . internaliser. ?. MiFID I (2007) introduced the systematic . internaliser. (SI) regime for equity markets, where an SI for a particular instrument is ‘an investment firm which, on an organised, frequent and systematic basis, deals on own account by executing client orders outside a regulated market or an MTF’.. MiFIR. – Transparency & Best Execution requirements in respect of bonds. 27 April 2016. Vienna. Elizabeth Callaghan. Overview. Key objectives of MiFID II/R & transparency requirements for bonds. For clients of TP ICAP, only.. Version 3. nd. Oct. Presenters. Frits Vogels. TP ICAP CEO, EMEA. Don McClumpha. TP ICAP COO, Global Broking. David Poole. Director, Market Structure and Regulation, MiFID II. . Central Banks consultation on Intermediary Inducements Enhanced Consumer Protection Measures CP 116. February 2018. 1. Agenda. Welcome:. Overview of CP 116 proposals & Brokers Ireland planned response: Diarmuid Kelly. September 19. th. , 2017. Plan Sponsor Services. CONTACTS. : . Tim Conway, HEAD OF PLAN SPONSOR SERVICES John Seyler, DIRECTOR. PHONE: 212-237-0416, . TIM.CONWAY@COWEN.COM. . PHONE: 212-237-0412, . The Impact of MiFID II and EMIR on Commodities. Hannah Meakin (Partner) and Cat Blake (Associate). 5 March 2014. Overview. MiFID II: What are “financial instruments”?. Additions and amendments to the type of financial instrument that is within scope of MiFID. 27 April 2016. Vienna. Elizabeth Callaghan. Overview. Key objectives of MiFID II/R & transparency requirements for bonds. Timeline. The new market structure paradigm. Market structure – today & tomorrow. Public. Symbology Project . Goal:. . . Create . a standard . symbology. for derivative products for pre-trade, trading and post trade workflows, to be used by the entire industry, as an open-source. Introduction . Objectives of Lecture . -Regulation of order execution (particularly shares) and of . trading venues in the EU . -Looking back and forward . MiFID. I and . MiFID. II/. MiFIR. . -Contextual: understanding the long-standing EU... Product . governance. & product . intervention. . under. . MiFID. II/ . MiFIR. Danny Busch. . Product governance.  . MiFID . II distinguishes between firms . that. . . - manufacture . the product (manufacturer.