Reporting issues in financial regulation and a new master agreement
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 MAR documents – more regulatory activity expected
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…
ESMA report on EMIR penalties and supervisory measures
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…
SMCR starts today for many
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…
Anti bribery and corruption fines and investigations in commodities
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…
Fines in the financial markets
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…
ACER stops processing RRM applications
ACER has announced here that the processing of applications to become a Registered Reporting Mechanism (RRM) under REMIT has been suspended due to a lack of suitable resources. RRMs are…
More US anti abuse activity – precious metals – more spoofing
Following the charging of several individuals earlier this year (see here) an additional trader, formerly of JP Morgan Chase and Co, has been charged with market manipulation in precious metals…
Brexit: CCP equivalence to be extended
The European Commission has confirmed in a speech that the temporary equivalence of UK Central Clearing Counterparties (CCP) will be extended further than the end of March 2020, as previously…
Anti abuse activity continues in the US
Anti abuse penalties continue to increase in the US following recent fines (see here). These include a settlement of $67.4 m between the CFTC and Tower Research Capital LLC for…
- Go to the previous page
- 1
- …
- 29
- 30
- 31
- 32
- 33
- 34
- 35
- …
- 148
- Go to the next page