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Cappitech conducted an industry survey to assess the extent to which financial services organizations have been affected by the new MiFID II Directive and also to gauge whether some firms might be viewing the ‘new normal’ as an opportunity for growth. The survey report provides the full survey results and offers some interesting insights on the future of regulation.
Download the survey and compare your compliance practices to your peers.
Additional key survey findings include:
- Despite a legal obligation to comply with Best Execution under MiFID II, 56% of survey respondents still do not produce best execution reports
- Firms are still unclear about which financial instruments fall under MiFID II’s purview from a transaction reporting perspective
- Firms that rolled-out new technology prior to the MiFID II January 3rd deadline might be using the wrong technology and paying too much for it