Mastering MiFID II: Asia-Pacific Implementation & Compliance

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An Assessment of the Challenges Facing non-EU Buyside Firms and Investment Banks

This report continues GreySpark Partners’ analysis of the impact of the second iteration of the Markets in Financial Instruments Directive (MiFID II) on the investment banking industry and on the buyside industry by focusing on the regulation’s impact on financial markets entities operating in Asia-Pacific (APAC). To enhance market transparency and strengthen consumer protection in financial services within the EU, MiFID II significantly broadens the scope of the types of non-EU financial institutions that will be subject to some, or all, of its mandates.

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As the regulation will impact EU- and non-EU-based banks, buyside firms, exchanges, trading venues and financial markets regulators differently, all of those entities that are not based in the EU must re-examine their operations in the same way that EU-based companies must do in order to ascertain whether they will be subject to MiFID II.

If an APAC-based company or regulator finds that its operations or oversight requirements are affected by the implementation of MiFID II beginning in January 2018, then this report will assist with their efforts to appropriately re-orientate their interactions and commercial relationships with both EU- and other, non-EU-based counterparties and financial markets services providers in an effort to adhere to a broad range of the appropriate compliance processes and procedures.

Published on: 2 May, 2017

Mastering MiFID II: Asia-Pacific Implementation & Compliance – Table of Contents

  • 1.0 MiFID II: The Buyside vs. Sellside Impact
    • 1.1 Trade & Transaction Reporting
    • 1.2 Best Execution
    • 1.3 Algorithm Notification
    • 1.4 Trading Obligations on Regulated Venues
  • 2.0 MiFID II: Beyond the EU
    • 2.1 Asia-Pacific Obligations under MiFID II
    • 2.2 Equivalence
    • 2.3 Third-country Rights under MiFID II
  • 3.0 The Current State of MiFID II Compliance in Asia-Pacific
    • 3.1 Asia-Pacific Interactions with the EU Marketplace
    • 3.2 Hong Kong: A Leader in Regional Regulatory Change
  • 4.0 MiFID II: A Driver of Regional Regulatory Convergence
  • 5.0 Appendices
  • 5.1 Glossary of Terms
  • 5.2 Table of Figures