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1-6 of 6
Keywords: MIFID II
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Journal Articles
Insights into UK investment firms’ efforts to comply with MiFID II RTS 6 that governs the conduct of algorithmic trading
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Journal of Financial Regulation and Compliance (2023) 31 (5): 607–629.
Published: 06 June 2023
.... Originality/value To the best of the author’s knowledge, the study represents the first qualitative examination of firms’ implementation of the algorithmic trading regime in the second Markets in Financial Instruments Directive 2014/65/EU. Trading Brokerage Algorithms Capital markets MIFID II RTS...
Journal Articles
Does the deployment of algorithms combined with direct electronic access increase conduct risk? Evidence from the LME
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Journal of Financial Regulation and Compliance (2023) 31 (2): 220–236.
Published: 08 August 2022
... re-use rights only MiFID II Algorithmic trading Market abuse Conduct risk direct electronic access London Metal Exchange […] we are seeing new complexities emerge around issues like disintermediation. […] a split from the principal/agent model that’s underpinned monetary...
Journal Articles
Price formation of FICC research following MiFID II unbundling rules
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Journal of Financial Regulation and Compliance (2020) 28 (1): 97–113.
Published: 28 August 2019
... be discovered in an iterative process. Originality/value The results presented are important to broker/dealers about to discover the market demand for their FICC research publications on the back of the implementation of MiFID II. Having distributed FICC research for free in the past, they have no knowledge...
Journal Articles
The effectiveness of MiFID provisions for professional clients: a critical review
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Journal of Financial Regulation and Compliance (2020) 28 (1): 1–15.
Published: 02 May 2019
...Tom Loonen; Randy Pattiselanno Purpose This paper aims to identify the duty of care that applies to ‘professionally classified clients’ based on the recently implemented Markets in Financial Instruments Directive II (MiFID II) as well as the previous Markets in Financial Instruments Directive I...
Journal Articles
MiFID II key concerns
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Journal of Financial Regulation and Compliance (2019) 27 (1): 110–123.
Published: 10 January 2019
...Peter Yeoh Purpose This paper aims to discuss key concerns surrounding the recent implementation of the Markets in Financial Instruments Directive (MIFID II). It focuses on the UK regime. The insights derived are envisaged to be helpful guides for participants and regulators in financial markets...
Journal Articles
MiFID II compliance – are we ready?
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Journal of Financial Regulation and Compliance (2015) 23 (2): 196–206.
Published: 11 May 2015
...Lukasz Prorokowski Purpose – This paper aims to discuss the impact of nascent Markets in Financial Instruments Directive (MiFID II) initiatives and, thus, to deliver practical insights into MiFID II implementation, compliance and cost reduction MiFID II constitutes the backbone for the upcoming...
