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FIA Core Action Items for Third-Country Firms for MiFID Go-Live

Presented by FIA
Webinar | November 13, 2017

Financial Services partners Nathaniel Lalone and Neil Robson will present "Core Action Items for Third-Country Firms for MiFID Go-Live" at 10:00 a.m. (ET) on Monday, November 13. The fifth in a series of FIA-hosted MiFID II webinars, the presentation will discuss core compliance and operational issues that third-country firms should consider in preparation for MiFID II's implementation date on January 3, 2018. Topics will include:

  • documentation requirements.
  • position limits and reporting.
  • LEIs/transaction reporting.
  • relief for research payments for US brokers.
  • DEA due diligence and systems/controls requirements.
  • trading venue equivalence.

To register, click here.