MiFID II, Do You Really Know What it is and How it Could Affect You?

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MiFID II, Do You Really Know What it is and How it Could Affect You?

What you need to know about MiFID II

Are YOU one of the following?

Interdealer Broker

High-frequency Trader

Trading Venue

Investment Manager

Stockbroker

Investment Adviser

Finance and Venture Capital Firm

Do You do this while making trades?

Record and Store calls regarding trades

High Quality, Accurate and complete telephone recording

Accessible/Available recordings of calls regarding trades

"Firms must report trade execution details to their National Competent Authority in near real-time, including volume, price and venue"

Repercussions if not followed:

€5 Million in Fines

10% of Annual Turnover in Fines

Cease and Desist Order

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days


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hours


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minutes


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seconds


Any more questions on MiFID II?

Want to know how we can help?

Email: afreeman@glemnet.com
tpackwood@glemnet.com
Phone:02086390230

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