TRAction’s Co-CEO, Quinn Perrott, provided his insights on EU regulation and brokers’ constant need to adapt their compliance functions and reporting in the MiFID II Matures workshop at the Finance Magnates London Summit 2019.
The panel focused on the MIFID II legislative framework including:
- FCA and NCA feedback
- Common errors investment firms are reporting and how to avoid them
- Best practices for improving your compliance strategy
Watch the video below: