Earlier this week, the FCA issued this Market Watch document on market conduct and transaction reporting issues. There are several observations on market abuse surveillance, some of which are relevant…
Last week, ACER published this version of their "programming document for 2019-2021", which includes the 2019 work plan. Starting on page 37, the document talks of the resources required to…
Finma, the Swiss National Competent Authority, on Friday announced a 5 year further delay to the start of reporting under the Financial Markets Infrastructure Act (FMIA, also known as "Finfrag")…
Nasdaq has announced a default on the Nordic Commodities market in this notice, which has been followed by this statement identifying the defaulting party as Einar Aas, a private trader. There…
The Romanian Competition Council, in cooperation with the ANRE (the National Regulatory Authority of Romania) has carried out dawn raids as part of an investigation into a possible abuse of a…
The Dutch bank ING has reached a settlement with the Dutch Public Prosecution Service of €775m for failures in anti money laundering procedures and compliance, which permitted accounts to be used…
ACER will be holding their second "Energy Market Integrity and Transparency Forum" this afternoon (6th September) and tomorrow morning (7th September) in Ljubljana. It will cover a variety of topics…
With MiFID II very much "bedding down", its impact is being felt outside of the EU as well as inside. This article on the Tabb Forum by Gary stone of…
Despite the summer being quiet, the news headlines still continue to be full of material on Brexit, for example this news story on the Sky News web site about EU…