mifid

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MiFID Compliance With Tripwire

MiFID is a European Union Directive that, like its 1993 predecessor seeks to establish conditions under which investment firms and banks that engage in the investment business can provide such service or establish branches in other Member States, based on home country authorization and supervision. The EU created MiFID to...

Tags: Tripwire, MiFID, PDAs, E-business/E-Commerce, Financial Services, Handhelds, Hardware, Internet

White papers 2008-09-11

The Impact of MiFID on Client Classification

MiFID has introduced a new three tier structure for classifying investment firms' clients which determines the level of protection to be accorded to each category. While superficially, this categorisation is similar to the existing three tiers of classification used in the UK, there exists several substantial differences and associated complexities....

Tags: Category, BEA Systems Inc., Classification, MiFID, Financial Services

White papers 2007-05-09

Additional Resources

CRM Software Helps Asset Management Firm Comply With Regulation and Win New Business

With 800 clients, Warren Wicklund is an innovative asset management business based in Oslo, Norway. It was founded in 2002 and now specialises in hedge fund management. Like many financial institutions during the global economic crisis, Warren Wicklund - a leading asset management firm in Norway - is under pressure...

Tags: Asset, Software, Regulation, CRM Software, CRM, Asset Management, Operational Planning, Business Operations

Case studies 2009-05-01

Are we headed for a nuclear winter?

Caroline McCarthy's post on News.com describing the juxtaposition between the party atmosphere underpinning Web 2.0 and the views of certain veterans poses awkward questions: Amid the drunken revelry and pulsing electronic music, one prominent tech-industry veteran at the party was asked exactly what Chi.mp is. "I'll tell you what...

Tags: Bank, Information Technology, Investment, Forrester Research Inc., Web 2.0, Social Networking, Strategy, Financial Services, Internet, Online Communications, Marketing, Advertising & Promotion, Management, Dennis Howlett

Blog posts 2008-04-25

The Impact of NEWCOB on Complaints Handling

The FSA has consulted on a new complaints rulebook for firms new DISP, as part of its shift towards principle-based regulation, alongside the general rewrite of its Conduct of Business rules. This paper assesses the rule changes proposed in consultation paper CP06/19 and the rules relating specifically to the implementation...

Tags: Complaint, CDC Software, FSA, Regulatory Compliance, Regulations, Human Resources, Policies And Procedures, Government

White papers 2007-07-06

MiFID

Compliance with MiFID the Markets in Financial Instruments Directive will mean major rework and enhancement of a variety of IT systems within many investment companies across the EU. The pressure is on to comply by the November 2007 deadline without adversely impacting existing functionality in applications as diverse as trading...

Tags: Performance, Compliance, Monitoring, AppLabs, Performance Management, Human Resources, Workforce Management

White papers 2007-05-07

Markets in Financial Instruments Directive (MIFID) - Compliance Is Not Enough

SAS offers an effective Markets in Financial Instruments Directive MiFID business intelligence solution which can underpin the drive for competitive advantage. A planned, incremental approach - leveraging investments in existing systems - is both possible as well as a best way forward. The opportunity is to use proven technology to...

Tags: Financial, Financial Instrument, Compliance, SAS Institute, Roi/Tco, Finance, Managerial Accounting

White papers 2007-04-01

Low Latency 5 Nine's Trading: Sun's Value Proposition for Market Data

To achieve the low latency and optimized trading efficiencies required in the algorithm-driven, post-Reg NMS/MiFID trading environment, firms need the unbeatable combination of the newest trading and market data systems running on Sun's SPARC and/or x86 platforms. With Solaris 10, partners like Wombat and Reuters are demonstrating unprecedented scalability, reduced...

Tags: Latency, Sun Microsystems Inc.

White papers 2007-03-15

Is EDA the 'new' SOA?

Is EDA the 'new' SOA?Some comments from ApamaJohn Bates and I (Mark Palmer, from Progress Apama), were part of the initial discussion that touched off this discussion. I posted this discussion about your article on our blog (http://apama.typepad.com), which I'll re-post here for convenience:This article (Is EDA the ‘new'...

Tags: Service-oriented architecture (SOA), Web services, Middleware, Enterprise software, Even Microsoft, CEP, SOA, EDA, Progress Apama

Discussion threads 2007-02-27

IBM Financial Markets Industry Models Support for the Markets in Financial Instruments Directive (MiFID)

The Markets in Financial Instruments Directive MiFID was enacted by the European Parliament on 21 April, 2004 and was set to become law in the 27 member states by April 2007 but is now scheduled for implementation by November 2007. This paper provides essential guidance for analysts and designers working...

Tags: Enterprise Software, Finance, Financial, Financial Accounting, Financial Instrument, IBM Corp., Service-Oriented Architecture (SOA), Software, Web Services

White papers 2007-01-19

The Power of Currency: Achieving High Performance With Right-Time Information

In an industry whose stock in trade is information, there is perhaps no greater need than quick and easy access to high-quality data. Whether it's a trader, investment manager, risk or compliance officer or back-office staff, each job depends on ready access to the relevant data at time of need....

Tags: High-performance, SAS Institute, Back-office, Basel II, Operational Accounting, Financial Services, Finance

White papers