Matt Riordan: How can you meet MiFID II recording requirements?

Avoid the half-solutions

clock • 5 min read

Firms that fail to put processes in place to meet the requirements of MiFID II now will undoubtedly feel the strain - both financially and operationally - in the near future, warns Matt Riordan

As is often the case with sequels, MiFID II is more ambitious, more expansive and arguably more confusing than its predecessor. With the January 2018 deadline now less than one month away, firms throughout the financial sector have been putting the necessary strategies in place to meet MiFID II's increased compliance requirements, which aim to safeguard market quality, regain consumer trust, provide robust levels of investor protection and increase transparency throughout the industry. Transparency and accountability are the twin themes that underpin the changes coming into effect on ...

To continue reading this article...

Join Professional Adviser for free

  • Unlimited access to real-time news, industry insights and market intelligence
  • Stay ahead of the curve with spotlights on emerging trends and technologies
  • Receive breaking news stories straight to your inbox in the daily newsletters
  • Make smart business decisions with the latest developments in regulation, investing retirement and protection
  • Members-only access to the editor’s weekly Friday commentary
  • Be the first to hear about our events and awards programmes

Join

 

Already a Professional Adviser member?

Login

More on Regulation

Understanding UK money habits: FCA's 2024 Financial Lives report key takeaways

Understanding UK money habits: FCA's 2024 Financial Lives report key takeaways

'Survey highlights significant challenges in financial resilience and pension savings'

Caitlin Southall
clock 12 June 2025 • 5 min read
Finfluencer trials delayed until 2027 due to court backlog

Finfluencer trials delayed until 2027 due to court backlog

Nikhil Rathi gave the update to aTreasury Committee hearing

Sorin Dojan
clock 10 June 2025 • 2 min read
Sustainability and market abuse concerns raised as FCA rings bell on PISCES launch

Sustainability and market abuse concerns raised as FCA rings bell on PISCES launch

PISCES regulatory regime now live

Linus Uhlig
clock 10 June 2025 • 3 min read