MiFID II Archives - SALVUS Funds

13AprApril 13, 2023

How to prepare the MiFID Annual Compliance Report in 2023

Entities licensed to provide investment servic...

By Salvus TeamArticlesCIF, CIF reporting obligations, CySEC, CySEC regulation, CySEC reports, MiFID annual compliance report, MiFID compliance, MiFID compliance report, MiFID II, MiFID report, Regulatory compliance, Regulatory ReportingComments Off

03NovNovember 3, 2022

Investor Information & Product Governance for CySEC regulated entities

Through the most recent financial crisis, sign...

By Salvus TeamArticlesCASP, CIF CySEC, Crypto-assets, CySEC, CySEC regulation, Investor information, MiFID II, Product Governance, Regulatory complianceComments Off

27JulJuly 27, 2022

CySEC Directive DI87-01(A) on CIF new Product Governance obligations

On the 25th of July 2022, the Cyprus Securitie...

By Salvus TeamNewsCIF obligations, CySEC, MiFID II, Product Governance, Regulatory compliance, Regulatory ReportingComments Off

17NovNovember 17, 2020

MiFID II Product Governance and KIDs for PRIIPs

Since January 2018 all European Investment Fir...

By Salvus TeamArticlesKIDs, MiFID II, PRIIPs, Product GovernanceComments Off

14AprApril 14, 2020

The Lamfalussy process, ESMA & the EU Commission

Anyone that has had any sort of exposure to ne...

By Salvus TeamArticles, Compliance Consulting, MiFID II Compliance Advisory, Regulatory & ComplianceCompliance, CySEC, MiFID II, StayAheadComments Off

17SepSeptember 17, 2019

Cyprus, CySEC, MiFID Investment and Ancillary Services

A Cyprus Investment Firm (CIF) is rightly cons...

By Salvus TeamArticles, Entity Acquisition or Sale, Funds Structuring & Administration, Licensing, Operational ServicesAuthorisation, CIFs, CySEC, Licensing, MiFID IIComments Off

12FebFebruary 12, 2019

The Impact of Product Intervention Measures imposed by ESMA

The complexity of MiFID II resulted in radical changes ...

By Salvus TeamArticles, Compliance Consulting, MiFID II Compliance Advisory, Regulatory & Compliance, Risk Management, Transaction Reporting AdvisoryIntervention Measures, MiFID II, RegulatorComments Off

05FebFebruary 5, 2019

Are you Ready for a Best Execution Inspection?

Achieving the best possible result when executing order...

By Salvus TeamArticles, Best Execution & RTS 27/28 Advisory, Compliance Consulting, Data & Insights, Internal Audit, Liquidity Discovery, Personnel Training, Project Management, Regulatory & Compliance, Risk Management, Risk Management Advisory, Trading Products, Platforms & Systems TrainingBest Execution, Inspection, MiFID II, RegulatorComments Off

29JanJanuary 29, 2019

The Best Execution Responsibilities of Investment Firms

Investment firms these days face the new challenge of t...

By Salvus TeamAnnual Reporting Requirements, Articles, Best Execution & RTS 27/28 Advisory, Compliance Consulting, Data & Insights, Internal Audit, Liquidity Discovery, Operational Services, Personnel Training, Project Management, Regulatory & Compliance, Risk Management, Risk Management Advisory, Technology Solutions, Trading Products, Platforms & Systems TrainingBest Execution, MiFID II, Post-Trade, Pre-TradeComments Off

22JanJanuary 22, 2019

Client Categorization and Investor Protection under MiFID II

Who are the recipients of the investment servi...

By Salvus TeamAnti-Money Laundering, Articles, Compliance Consulting, Internal Audit, MiFID II Compliance Advisory, Regulatory & ComplianceInvestor protection, MiFID II, Product GovernanceComments Off