- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By David Ackerman2017-11-21T11:45:00
The expansion of the scope under MiFID II will make it far likelier for market participants to be caught within EU regulators’ crosshairs without even realizing it. Some tips for avoiding that fate are inside.
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2017-12-04T13:45:00Z By David Murray
The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
2025-05-01T14:39:00Z By Neil Hodge
Antitrust infringement cases in the United Kingdom can run on for years, but there’s a question whether issuing fines that are dwarfed by the revenues of those organisations involved is a worthy deterrent—particularly if they are imposed over a decade after the misconduct ended. It’s also debatable whether the first ...
2025-04-28T18:47:00Z By Ian Sherr
Sometimes, it feels like the only thing that’s certain is that tomorrow will be different from today. For an industry that’s focused on rules, regulations, and ethics, that lack of consistency can seem overwhelming. That’s why the next few days will matter so much.
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