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.