Fact Sheet Mifid Ii And Mar

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File: Fact Sheet Mifid Ii And Mar

mar mifid ii record keeping market abuse prevention and event reconstruction background on mar mifid ii the broad intent of mar and mifid ii is to strengthen investor protections under ...

Filetype PDF | Posted on 19 Sep 2022 | 4 years ago

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...Mar mifid ii record keeping market abuse prevention and event reconstruction background on the broad intent of is to strengthen investor protections under firms will be required adhere following maximize transparency reduce achieve scope longer retention periods those objectives esma has proposed many changes way otc records must include electronic kept in accordance with products exchange traded equity communications e g email im article provided markets operate function fax voice recordings telephone client involved upon request among these broader conversations minutes from face for a minimum period requirements meetings related reception five years where requested by transmission execution orders regulators up seven detection behalf clients or one s own mandate account all compliance storage services activities transactions enable national reconstruct events should stored monitor new durable medium that allows them supervision maintain replayed copied build existing retained format...

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Category: Uncategorized / Uncategorized
Posted on: 19 Sep 2022 | 4 years ago
Tag: download pdf, fact, sheet, mifid,
Filetype: PDF
File size: 0.09 MB
Views: 19x
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Uploaded by: Andy yahya

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