Trader receives custodial sentence for spoofing and other anti abuse activity
A UK based trader formerly of Deutsche Bank has been sentenced to a year and a day in US prison for spoofing on the Comex exchange in precious metals futures.…
Brexit: Divergence possibilities continue
Almost 6 months have passed since the end of the Brexit "transitional phase". Since then, the signs that EU and UK regulation will continue to diverge have continued, especially in…
REMIT Insider Trading warning and other market abuse cases
The last weeks have seen a continuation of anti abuse activity and fines from regulators, exchanges and others since our last post here. The activity includes: A market participant in…
ESMA opens consultation on future MIFID II position limits regulations
ESMA has opened a consultation and published this document which covers the method by which changes to the MIFID II position limits and reporting regime will be implemented as part…
Anti abuse case update
The fight against market abuse continues worldwide. This post covers some interesting cases that have emerged since our last posts on the topic here and here. In Great Britain, Ofgem…
CBI thematic review of algo trading. FCA regulatory initiatives including EMIR
The Central Bank of Ireland has conducted a "Thematic assessment on Algorithmic Trading Firms’ compliance with RTS 6 of MIFID II". The open letter can be found here. Regulatory Technical…
ACER publishes REMIT Quarterly and updates Guidance
ACER has today published the latest version of their quarterly newsletter on REMIT, which can be found here. The newsletter includes an article on page 6 on market abuse in…
ESMA issues market size data for MIFID II Ancillary Activity Test
ESMA has today issued their latest "opinion on ancillary activity – market size calculation" to be used as part of the "Ancillary Activity Test" calculations. These are used in order…
ACER publishes updated REMIT reporting and inside information disclosure guidelines
ACER has updated several documents related to REMIT reporting and inside information disclosure: TRUM Annex II (here) - Reporting examples - The document has been updated with several new examples.…
Brexit update – Further possible divergences
It is now four months since the end of the transitional phase of Brexit, which ended on 31st December 2020. This catch up post recaps the related news from Q1.…
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