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Core Action Items for Third-Country Firms for MiFID Go-Live

13 November 2017 10:00am to 11:00am EST

January 3rd is coming…

This webinar will explore core compliance and operational issues that third-country firms should consider in preparation for MiFID II’s implementation date on January 3, 2018. The agenda will include:

  • documentation requirements
  • position limits
  • position reporting
  • LEIs/transaction reporting
  • relief for research payments for US brokers
  • DEA due diligence
  • systems/controls requirements
  • trading venue equivalence


Michelle Broom, Executive Director, Risk Management Group, Compliance, Macquarie Group; and Swap Dealer Chief Compliance Officer, Macquarie Bank Limited, Macquarie Energy


Nathaniel Lalone, Partner and Neil Robson, Partner of Katten Muchin Rosenman UK LLP

Access the recording

MiFID II Core Action Items for Third Country Firms.pdf

This is the fifth installment in FIA’s MiFID Webinar Series. Listen to recordings and view presentations from the first, second and third webinars in this series.





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