REMIT II adopted by Parliament – MAR fine – more
The European Parliament has adopted the latest version of REMIT II, which will see some significant changes (see here). The announcement can be found here and the adopted text here.…
REMIT case in Italy – ESMA MAR report
ARERA, the National Regulatory Authority for Italy, has posted this announcement informing of action against a market participant for breaches of REMIT Article 5 (market manipulation). The activity in question…
Broker fined for MAR breach
The UK's Financial Conduct Authority (FCA) has fined a broker group 4,775,200 GBP, for breaches of the Market Abuse Regulation Article 16(2), which requires "Professional Persons Arranging or Executing Transactions"…
MAR Effective monitoring fine and REMIT forum registration
In what is proving to be a "big news" day, the FCA has announced a fine levied against a broker for various failings, including failing to carry out "effective monitoring"…
FCA Market Watch on MAR risk assessments and surveillance – Metals market surveillance
The UK's Financial Conduct Authority (FCA) has issued the latest version of their Market Watch newsletter, which can be found here. The newsletter focuses on risk assessments that are carried…
More pushback against market interventions – Traders fined – Action re oil market manipulation
An article has been published here on the EURACTIV web site by Christoph Maurer and Lion Hirth arguing against the proposed market interventions in Spain and Portugal. These are being…
Response published to UK Wholesale Markets Review and a comment on MAR with respect to the Ukraine situation
The UK's HM Treasury has published this response to the Wholesale Markets Review that was run last summer(see here). The review looks at potential changes to MIFID II and other…
2022 begins
As the year opens, here we gather a few thoughts on what we can expect for the year ahead, with respect to the primary rules covered by this blog, and…
FCA issues warning notice to 3 traders for spoofing
The UK's Financial Conduct Authority has today issued this warning notice in relation to alleged spoofing between June and July 2016 by three traders at the same bank. The traders…
We are back – a catch up on anti abuse and fining activity
Following a longer than expected break, here is a catch up on anti abuse activities of interest over the past weeks since our previous post on the topic here. The…
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