Capital Markets Advisors

MiFID II includes both pre-trade transparency and best execution requirements. While commendable, though, these goals may create a very difficult situation for both customers and dealers: If regulators focus on pre-trade transparency, best execution will probably suffer; if they focus on best execution, transparency will probably suffer. In the rather picaresque story of MiFID II, it often looks as if each requirement has had its own wandering life, evolving independently… Read More »

Despite regulators’ goal of harmonizing global financial regulations, regional differences persist, and with the implementation of MiFID II in Europe, confusion is likely to intensify. George Bollenbacher, partner, Capital Markets Advisors, outlines the jurisdictional questions surrounding MiFID II and explores how the rules could impact both EU and non-EU entities. Speaking with TABB Group founder and CEO Larry Tabb, Bollenbacher discusses the uncertainties around MiFID II’s enforceability and the potential… Read More »