Firms needs supervisory and monitoring procedures to identify reporting issues and repair rejected events.
MiFID II has not increased the share of trading volume executed on-venue.
Fintech exec says regulators will at some point want to know what volume is traded.
Buy side can't just sweep Brexit issue under the rug until the next deadline.
ACA Compliance asks whether it's the beginning of the end or the end of the beginning.
New regulatory regime provides no exemptions or exclusions.
A dearth of regulatory guidance is vexing for brokers.
Data disclosure brings benefits -- up to a point, writes Michael Paulus of OpenDoor Securities.
Trading venues need outside expertise to manage Form ATS-N, Nasdaq says.