FCA warns of increased MAR oversight
The start of MiFID II on 3rd January increases the scope of the Market Abuse Regulation, which itself started on 3rd July 2016 (see here). Financial instruments executed on Organised…
Regulation summaries – REMIT Quarterly and FCA Regulation Roundup
Both ACER and the UK's FCA have recently issued newsletters: ACER has issued the latest REMIT "quarterly" document, which can be found here. It summarises the various announcements relating to…
FCA updates, adds to and removes position limits
The UK's Financial Conduct Authority has updated the MiFID II position limits previously announced. The updated page can be found here and the spreadsheet here. Last month, ESMA and the National…
Updated MiFID II Q+As issued by ESMA
ESMA has issued several updated Questions and Answers documents on MiFID II: Commodity Derivatives (here) Data Reporting (here) Investor Protection (here) The commodity derivatives answers cover the topics of position…
ISDA and ECB publish comments on the EMIR review
Both ISDA and the ECB have recently published comments on the legislative proposal issued by the European Commission earlier this year (see here) which aims to change the level 1…
ETR Advisory announces enhanced Regulatory Support Service
ETR Advisory has announced the relaunch of their Regulatory Support Service, which allows customers to benefit from ETR Advisory's experience and expertise for a fixed monthly fee. Clients can "pick and…
MiFID II position limit developments
With the start of MiFID II less than 2 months away, there have been a few developments in the position limits and reporting streams of work, which apply to all…
Cargill fined $10m for misreporting marks under Dodd Frank
The CFTC has fined Cargill $10m for the misreporting of marks to SDRs and counterparties. The CFTC's press release can be found here. According to the press release, the order finds…
EFET and FIA publish enhanced schema for MiFID II position reporting
EFET and the FIA have published a schema which can be used for enhanced reporting of commodity derivatives and emissions positions under MiFID II. The press release can be found…
Manipulation cases
The global financial, commodity and energy markets have seen increased scrutiny from regulators over the last few months, particularly in terms of anti manipulation activity. In Europe, rule sets such…
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