MiFID II: Why Compliance Should Be an Ongoing Exercise for Firms
Some of MiFID II’s changes might be about to bite, with regulatory enforcement ratcheting up.
One year after MiFID II took effect, enforcement of the revised Directive could increase considerably in 2019. And with some of MiFID II’s rules open to interpretation, inadvertent non-compliance maybe a real risk for some firms.
Dechert, in association with Marsh, has produced this latest insight which outlines how some of MiFID II’s changes might bite and why it is important for companies to continue to strive to comply with the provisions of MiFID II.