Yesterday saw some announcements just before the seasonal break: The Council of European Energy Regulators (CEER) published its response to the recent consultation on the MiFID II position limits regime…
For many, this is the final working day of 2019, although some will continue to keep things moving during the holiday period. Our opening post of the year (see here)…
There have been several revelations recently that many who are obliged to report under MiFID II have been experienced issues with reporting. This article on The Trade News web site…
ESMA released a series of documents relating to MAR towards the end of last week: STOR peer review report (here) - The report reveals that the number of STORs submitted…
Yesterday, ESMA published this report on penalties and supervisory measures relating to EMIR covering 2018. It is the second such report. It covers: The clearing obligation The reporting obligation NFC…
From today, the Senior Managers and Certification Regime (SM&CR) will start for many firms in the UK. The SM&CR applies to those regulated by the FCA, and includes those in…
The past weeks have seen a large anti bribery and corruption fine in commodities as well as the announcement of a new investigation. Gunvor Group were fined almost 94 million…
A 2 million Euro fine has been issued under MAR to ABN Amro for late disclosure of inside information. The notice can be found here. In the UK, the PRA…