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…
Another large transaction reporting fine – £34.3M
The UK's Financial Conduct Authority (FCA) has fined Goldman Sachs £34,344,700 for transaction reporting failures under MiFID I between 5 November 2007 and 31 March 2015. The issues cover 229.2…
No Brexit today – but several updates
Today was to be the day on which Brexit finally occurred. However, the switch is delayed to the 12th April, 22nd May, or perhaps some other date. The politics around…
ACER paper on layering and spoofing and other market abuse news
Last Friday, ACER issued this report on the application of the REMIT market manipulation prohibition (Article 5) in relation to layering and spoofing. This is the third such "example market…
ESMA publishes more MiFID II position limits opinions
ESMA has this week published seven further opinion documents relating to position limits under MiFID II, of which six relate to gas and one to power. This follows the publication…
UBS fined £27.6m for transaction reporting failures
The UK's Financial Conduct Authority has fined UBS AG 27.6 million pounds sterling for transaction reporting infringements under MiFID I. The penalty notice can be found here. The fine relates…
MiFID II updates, CFTC position limits
While there is not much news relating to MiFID II specifically for those in energy and commodities, the wider financial services world has seen a great deal of discussion and…
More Brexit updates: FCA announcements
The news around Brexit now comes out on an hourly basis (for example see here on Sky News). A "no deal" Brexit remains very possible. As a result, following last…
Brexit update – C6 carve out, NRA REMIT letters and more
The political side of Brexit still has not produced a concrete result (for example, see here on Sky News). With three weeks to go until the Brexit date of 29th…
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