Wholesale Markets Regulation

Since the Global Financial Crisis, the wholesale markets and its participants have been heavily regulated. Join Carl Fernandes, partner at Latham and Watkins, as he explores the various regulatory and legislative bodies in the EU and the UK while elaborating on the role of these bodies in establishing prudential regulation in order to prevent similar problems again.

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4 video modules • 44 minutes

  • An Overview of EU and UK Wholesale Market Regulators

    In this series, Carl provides an introduction to how wholesale financial markets are regulated, with a particular focus on the regulatory framework in Europe and the UK. This video will look at the various financial services regulators globally and locally, and their remit.

    Carl Fernandes08:32

  • An Overview of Wholesale Market Regulatory Policy

    In this second video of the series, Carl covers regulatory policy and the different types of regulation applicable to the wholesale markets and its participants.

    Carl Fernandes04:42

  • An Overview of MiFID

    The main purpose of this video by Carl is to provide an overview of  “MiFID” – the Markets in Financial Instruments Directive which is the centrepiece of the EU's regulatory framework for securities markets designed to assist traders, investors, and other market participants in the financial sector.

    Carl Fernandes14:05

  • An Overview of Market Abuse Regulation

    Regulators and investors want public securities markets to be fair and effective in forming prices for the traded securities. In this video, Carl focuses on the key regulatory requirements and restrictions which influence how firms trade in public securities markets.

    Carl Fernandes16:48

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