FCA cancels authorisations
The UK's Financial Conduct Authority (FCA) has issued its latest "Regulation Round Up" (see here). The document discusses enforcements against authorised firms who have not complied with all of the…
Manipulation cases and surveillance system settings
See here for an article on the Trillium web site, which reports on a fine imposed on JP Morgan Securities in the US for the use of improper configuration settings…
FCA Q+A on MiFID II Commodity Derivatives
The UK's Financial Conduct Authority has issued a Questions and Answers document covering the parts of MiFID II relating to commodity derivatives. It can be found here. It covers several…
First MiFID II position limits set
ESMA has agreed the first position limits under MiFID II for some agricultural commodity derivatives contracts on the MATIF exchange. The way in which position limits work has been outlined…
ESMA updates MiFID II specifications
ESMA has updated the technical documentation relating to transaction reporting, order record keeping and clock synchronisation, correcting and updating several issues in the original document. The updates span a few…
Spoofing conviction upheld on appeal
The US appeals court has upheld the conviction of Michael Coscia who was found guilty of market manipulation, receiving a custodial sentence last year (see here). An article on the appeal…
Updated FCA page on MiFID II Commodity Derivatives
The UK's Financial Conduct Authority (FCA) has updated its page on the aspects of MiFID II applying to commodity derivatives. The page can be found here and focuses on position…
Senior Managers Regime to be extended
The UK's Financial Conduct Authority has announced a plan to extend the existing Senior Managers and Certification Regime to more firms, and also to extend the rules within the regulation.…
Position limits rules and others worldwide
While the start of MiFID II commodity derivatives position limits moves closer (see here), there has been some movement in the US in finally applying mandatory position limits, which will…
EMIR comments and webinar
The FIA have written this paper commenting on the legislative proposal issued by the European Commission, which, amongst other things suggested several changes for non-financial counterparties, including many in energy…
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