The Sell Side

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The Investment Banking Division in a Bank, Brokerages and regulations relating to Market Infrastructure feature here.

The main themes are:

1. Conduct of Business

2. Client Onboarding and Classification

3. Trade Reporting for Transparency

4. Client Assets: Segregation & Safekeeping

5. Best Execution

Look for:

1. MiFID-I / MiFID-II

2. STS

3. SFTR

4. CSDR

5. PD

6. TD