At a time when investment firms already face a range of significant economic and regulatory challenges, their capability and capacity to deliver will again be tested by The Markets in Financial Instruments Directive (MiFID II) and Markets in Financial Instruments Regulation (MiFIR).
Coming in to force from 3 January 2017, the scope of MiFID II/MiFIR is wide ranging and will have a significant impact on investment firms in relation to Transaction Reporting. Although the FCA policy statement is not due until mid-2016, investment firms should not delay in considering the significant changes required for Transaction Reporting, in particular with regard to the source and extraction of the additional data required.
This paper focusses on Transaction Reporting and how a robust, automated financial control regime can overcome often manual and complex reporting processes, hence ensuring on-going compliance, including:
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