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IMIA February Updates

by | Feb 15, 2024

Women in Finance Charter

 

Many thanks to  Elenora Basile from Elkstone Partners and Ruth Nic Ginneá for providing a useful overview of Ireland’s Women in Finance Charter. Slides from the presentation were shared with Member Firms.

 

ASP Update

 

Many thanks to Christopher for providing a useful overview of the Central Bank’s Inquiry Facilities and Administrative Sanctions Procedure (ASP). There is a useful summary on the Central Bank website of the ASP. Further guidelines on the ASP are expected in the coming weeks.

 

 ESMA update on Trading Venues and Execution Quality 

 

ESMA have advised that NCAs do not need to prioritise supervisory actions towards RTS 28 reporting. The adopted text of the MiFID II review (approved by the European Parliament on 16th January) includes the deletion of the reporting obligation for investment firms set out in Article 27(6) of MiFID II to publish annual information on the identity of execution venues and on the quality of execution.

 

Operational Resilience Maturity Assessment 

 

The Central Bank has sent around an Operational Resilience Maturity Assessment to some firms. A detailed member discussion will take place subject to sufficient interest.

 

Regulatory Reporting Group

 

The Regulatory Reporting Group will meet on Monday 19th  February at 10 am to discuss the new ICAAP template. If you would like to join this call please email contact@imia.ie

 

Member Discussion on Call Monitoring 

 

At January’s member meeting, we discussed software providers for call monitoring. A detailed discussion will take place next week.

 

MiFIR

 

The European Parliament recently proposed changes to MiFIR. The IMIA will now work with member firms on a written submission.

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