Kx Insights: Consolidated Audit Trail Go-Live is Now a Certainty
6 Sep 2018
By Adam E. Dix In this first article in a series about the roll out of the SEC’s Consolidated Audit Trail, Kx Regulatory Reporting Director Adam E. Dix provides an update on the status of the regulation which will improve the ability of the US Securities and Exchange Commission (SEC) and Self-Regulatory Organizations (SRO’s)
MiFID II, The Day After
4 Jan 2018
Don’t pop the champagne yet for the launch of Europe’s Markets in Financial Instruments Directive (MiFID II). While January 3rd was the go-live date, and the industry is thought to be 80% compliant, there are major outstanding issues to contend with in 2018. Yesterday was simply a milestone marking the turn to the home stretch.
Although MiFID II has been in the works for many years, its Level II and Level III guidance was still being finished in the second half of 2017, which has meant an uncomfortable level of ambiguity for those who must implement MiFID II.