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MiFID II – It’s not over yet

Mifid II has already celebrated its half-year birthday and while many compliance officers may have wished to celebrate by checking the “done box” on this task, the additional MiFID II obligations ...

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What Regulators do with your MiFID II data, EMIR Changes and Compliance Updates

MiFID II has hit the half year mark, which means regulators now have six months of data to look at. To delve deeper as to what ESMA and local National Competent Authorities (NCAs) are doing with ...

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‘No LEI no Trade ‘fully goes into effect for MiFID II in July

Under MIFID II, investment firms trading with Legal Entities were required to make sure these counterparties had a registered Legal Entity Identifier (LEI) before trading with them (more on LEIs ...

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Cappitech Raises $4 Million in Series A Financing to Fuel Growth and Innovation

Cappitech is excited to announce that we have secured $4 million in series A financing. The financing round was led by 83North with participation from Rony Grushka and Kevin Gould, co-founders of ...

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Cappitech launches RTS 27 Best Execution solution to bolster MiFID II offering

With the first deadline of RTS 27 reports quickly approaching, Cappitech Regulation, a leading provider of regulation technology for the financial services industry has launched a solution to ...

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RTS 27 Best Execution for Forex/CFD Brokers

Part of the package of new reporting and corporate governance rules under MiFID II is RTS 27. Unlike other reporting requirements that are near real-time or daily, RTS 27 is a quarterly reporting ...

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FCA Seemingly exempts Cryptocurrency CFDs from MiFID II reporting

Last Friday, the UK’s Financial Conduct Authority (FCA) issued a statement clarifying the authorization of cryptocurrency derivatives. In the statement (link), they explained that offering trading ...

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What’s next on the minds of CFD broker compliance teams? Capital Requirements

Regulation and compliance continues to evolve. While EMIR and MiFID II are worries of yesterday and today, tomorrow has its own set of acronyms worrying compliance officers.

With this in mind, ...

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CySEC begins investigation of MIFID II (MiFIR) compliance among license holders

With MiFIR and MiFID II going live on January 3rd, regulators have begun to ask, “who isn’t reporting?”

While many country regulators have been quietly reviewing the MiFIR transaction reporting ...

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Why we chose an ARM vs NCA for our client’s MIFID II Transaction Reporting

Earlier this month, Cappitech published some of what we’ve learned from the first month of MiFID II going into effect. One of the items covered was our decision to report client Transaction ...

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