FCA issues “Dear CEO” letter to wholesale brokers
The UK's Financial Conduct Authority(FCA) has issued this open letter to the CEOs of wholesale brokers, across several asset classes. The letter identifies some issues observed by the FCA at…
New position limits opinions from ESMA
ESMA yesterday issued further opinion documents on position limits already set by National Competent Authorities(NCAs) under MiFID II. This follows the publication of opinions in March (see here). Each opinion has…
ACER issues latest “REMIT Quarterly”
ACER has issued the latest "REMIT Quarterly" newsletter today. It can be found here. In addition to providing an update on previously published statistics (see here) it covers some other…
Anti abuse trials
See here for an article on Bloomberg about the ongoing case of Fabiana Abdel-Malek, a former compliance officer at UBS AG, and Walid Choucair a day trader. It is alleged…
No Accepted Market Practices under REMIT – CEER
The Council of European Energy Regulators (CEER) has issued this note on "Accepted Market Practices" (AMP) under REMIT. Behaviours described as an AMP by a National Regulatory Authority would not…
Appeal against “improper monitoring” fine fails
Last week, the UK's Upper Tribunal rejected an appeal lodged by Linear Investments against a fine of £409,300 levied against them by the UK's FCA last October (see here). The…
SFTR dates known – and a radio broadcast
The Securities Financing Transaction Reporting (SFTR) implementing regulation has now been published in the Official Journal of the European Union. This sets the start of reporting dates. The first date…
Updated MAR Q+A – News on EAMP requirements
Last week ESMA published this updated version of the Questions and Answers document on the Market Abuse Regulation. It contains some additional information on the rules that apply to "Emissions…
EMIR REFIT – Threshold changes to apply on publication
The EMIR REFIT process has almost completed its journey so that it can be published in the Official Journal of the European Union (see here) The REFIT process aims to…
REMIT dawn raid
ACM, the National Regulatory Authority of the Netherlands, has announced that they have carried out a dawn raid on a company within the country, as part of an investigation into…
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