CESR has published its assessment of the first four proposals for waivers from the MiFID pre-trade transparency requirements. CESR members agreed that national competent authorities would discuss requests at CESR level. Three of the requests have been approved. The one that was refused related to discretionary orders, which CESR said do not meet the criteria for a waiver.
- How-to guide How-to guide: How to develop, implement and maintain a US information and data security compliance program (USA)
- Checklist Checklist: Currency transaction reporting requirements (USA)
- How-to guide How-to guide: How to identify suspicious activity and make a Suspicious Activity Report (SAR) (USA)