RegTech Intelligence

JWG announce 12 July MiFID Webinar

In our previous article we announced some of the key findings from our recent buy-side focused MiFID survey. Now we are pleased to announce a webinar on 12 July to review and analyse the results in more depth with a panel of experts. The webinar will aim to present new survey findings to help inform your MiFID II implementation programme, the critical decisions being made now, and how the multibillion-euro implementation market is delivering results that could work for you.

As already announced a key finding in the results 90% of buy-side firms believe they are at either high or medium risk of not being compliant by the January 2018 deadline, despite this date having already been delayed by a year. Significantly, with just over six months to go, a large amount of the industry appears to be under-resourced and under-prepared. It is imperative that firms fully understand the requirements of the regulation and take their MiFID II compliance seriously, or prepare for penalties come January.

Among those respondents to the survey, about one-third had less than £1 billion of assets under management (AUM), one-third had between £5 billion and £50 billion AUM and the remaining one-third had between £50 billion and £500 billion AUM. However, the level of preparedness was not found to be dependent on the size of the firm; rather, 48% of buy-side firms regardless of size are implementing on a budget of less than £2 million and 45% are attempting to implement MiFID II with a team of less than five people. Meanwhile, other financial institutions averaged team sizes of between 21 and 49, and 15% of respondents have a budget of over £10 million. This demonstrates a wide gap in capability that will likely exist in 2018, with just under a third of firms saying that they are actively seeking benefit from MiFID II. Those who are trailing behind risk losing a competitive edge if they do not smarten up their MiFID programmes.

To find out more about the results come discuss the following on 12 July :

  • The three categories of MiFID II firms the research has identified
  • How firms are wrestling with key issues like: research, transaction reporting and costs and charges
  • Who will be MiFID II winners and losers?
  • Our 10-point action plan based on the results

These findings will then be discussed by an expert panel including:

  • Tim Dudley – Managing Director, Regulatory Reporting at BlackRock
  • David Eley – Head of Regulatory Strategy at SEB
  • Kevin Taylor – Managing Director, Global Head of Markets Compliance at UniCredit
  • Jim Bennett – Managing Director at Sapient Global Markets
  • Seung Earm – Research Unbundling, Compliance Lead at BNP Paribas
  • Daniel Simpson – Head of Research at JWG

To register for free:

  1. Click ‘Register’ via the following link –
  2. Enter the ‘Event Number‘ ­– 950154479
  3. Complete the registration form
  4. Click ‘Submit’
  5. Receive an email containing your unique URL link, Registration ID and Event password
  6. 30 minutes before the event, access your unique URL link and enter your Registration ID and Event password to join the webinar


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