B8FT107: Critically Evaluate The Design, Operation, And Controls Of IT Systems That Are Required Under The MiFID II: Fintech Regulatory Environment Assignment, DBS, Ireland

  1. Critically evaluate the design, operation, and controls of IT systems that are required under the MiFID II.;
  2. Appraise the transparency regime which comprises two transparency obligations: pre and post-trade transparency. Specifically, shed light on the fields required in the Approved Publication Arrangements (APA’s). Differentiate the principal risks pertaining to uncertainty in post-trade reporting. In particular consider the practical implications of transparency requirements, such as the European Securities and Markets Authority’s (ESMA) December 2017 updates on the scope of the tick size regime.;
  3. Devise RegTech fixes to deal with microstructural concerns (such as clock syncing and algo libraries). Additionally, design solutions for risk monitoring analytics. In particular, create potential RegTech solutions for supervisory control portals and risk registers for client classification to meet the requirements of the MiFID II.; and
  4. Consider the costs of non-compliance including penalties and fines.

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