Removed and updated position limits by the FCA and BaFin
The UK's FCA has updated their master list of position limits, which can be found here. The primary change is the removal of a contract on an OTF for physical…
Push back on “gold plated” Bank of England rules on algorithmic trading
Several industry associations and banks have pushed back against proposals by the Bank of England to roll out an enhanced version of the rules governing algorithmic trading in financial instruments,…
Goldman Sachs pays $110m in the US relating to inside information disclosure
Goldman Sachs has agreed to pay a settlement in the region of $110m, split between the New York Department of Financial Services and the Federal Reserve Board, for the improper…
$2m settlement for position limit breach, wash trades and incorrect submission in the US
The CFTC has settled with Glencore Agriculture B.V. and Glencore Ltd $2 million for breaches of position limits in ICE cotton futures contracts, executed trades which are construed as wash…
Trader acquitted of spoofing precious metals in US
Andre Flotron, an ex UBS trader who was accused of spoofing on the Comex market in precious metals futures, was yesterday acquitted of the charge, as reported here on the…
EMIR Review to be discussed in ECON tomorrow
The ECON committee of the European Parliament meets tomorrow, and will discuss the changes proposed as part of the EMIR review as part of the agenda, which can be found…
MiFID II update – LEI and ISIN issues, and updated lists
The effect of MiFID II is now being felt in some quarters in the wider financial world since our last post here. This article on Finextra reports on this webinar…
Brexit update – ISDA FAQs, ESA warnings and more
There have been a few developments on both the financial side of regulation in Brexit thinking since our last update (see here). On the financial side, ISDA has issued this…
Is the “era of regulation” over in Europe?
See here for our guest post on the CTRM Center on the future of energy and commodity trading regulation in Europe
ESMA asks Commission for guidance on Ancillary Activity test
Following on from the announcement earlier this week of new position limit opinions (see here), ESMA has written this letter to the European Commission asking for guidance on the applicability…
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