Category Archives: News

Germany – BaFin Post-Trade Transparency

On 17 October, BaFin proposed rules on MiFIR post-trade transparency. Covers post-trade transparency obligations for debt, equity and derivative trades. MiFIR requires securities companies to report on debt and derivative transactions. There is exemption from the general obligation if authorized by national regulator. BaFin stated delayed publication is suitable means of balancing legitimate interests. Waives…
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U.K. – FCA MiFID Passporting

On 16 October, FCA issued statement on MiFID passporting using Connect. Firms wishing to passport under MiFID I one can use Connect up until 3 December 2017. From 4 Decemebr, firms can still use Connect but system will reflect MiFID II framework. Means the firms will have to submit one passport notification for each country…
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Malta – MFSA CIS MiFID Reporting

On 12 October, MFSA issued circular on CIS reporting under MiFID/MiFIR. Provisions of MiFID II have not changed transaction reporting obligations of CISs. Collective investment Schemes do not fall in reporting obligations of Art 26 MiFIR. Art 6(6) AIFMD and Art 6(4) UCITs do not specifically refer to these reporting rules. But Art 26(5) MiFIR…
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