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