The Markets in Financial Instruments Directive (MiFID) is the EU legislation that regulates firms who provide services to clients linked to ‘financial instruments’ (shares, bonds, units in collective investment schemes and derivatives), and the venues where those instruments are traded.
MiFID is the framework of European Union (EU) legislation for:
MiFID applied in the UK from November 2007, and was revised by MiFID2, which took effect on 3 January 2018, to improve the functioning of financial markets in light of the financial crisis and to strengthen investor protection. MiFID2 extended the MiFID requirements in a number of areas including:
EVIA/LEBA offer a range of regulatory template policies and procedures for members to use as a basis to create their own firm specific polices. If you require any of the below documents, please contact email@example.com
Working actively with its members, we facilitate a number of forums to collectively discuss, explore and agree a common standard approach to meet various aspects of the regulation.
Monday morning strategy discussions are held to provide high level summaries of the previous week’s events across all markets. Topical items include but not limited to, regulatory consultation, discussion, final policy papers, views and speeches from national competent authorities and the outcomes of market data analysis.
If you wish to participate in these calls, please contact Alex McDonald.
Brief notes from the MiFID2/R discussion are available on request.
Monthly meetings attended by each member firms Heads of Compliance to discuss matters that affect the day to day implementation of regulatory objectives e.g. MAR, Senior Management & Certification Regime, GDPR, Anti Money Laundering and Financial Crime etc
We also invite expert consultants to provide advice on a range of regulatory topics to assist members to address the risks affecting their firm.
Meetings are held every Wednesday between 08:30 and 10:00 (subject to change).
EVIA/LEBA works closely with its members through the various working groups to collate views and reach a consensus to respond to consultation or discussion papers collectively.
See the 'Public Documents' to access these responses.