Anti abuse and surveillance articles
Several pieces of news and article have been published recently on the topic of surveillance and anti abuse, with a focus on the US: This article on the Bloomberg from…
Article on regulatory change and architecture
See here for an article by Ian Sutherland on The OTC Space about implementing regulatory change and technology. While the article is focused on banking , the energy and commodity…
Articles on alleged manipulation, non manipulation and breaches of position limits
See here for an article on the India based "Money life" web site about alleged manipulations in currency and commodity markets using spoofing and other typical manipulation techniques. The allegations…
European Commission publishes summary of equivalence decisions for non EU countries
The European Commission has created this web page which summaries the "equivalence decisions" made with respect to the recognition of the compliance of non EU countries. Equivalence recognition of a…
STOR issues at LME
See here for a story on FT.com which reports on issues that the London Metals Exchange have experienced with Suspicious Transaction and Order Reporting (STOR), a requirement for exchanges and…
MAR document on commodity inside information published
ESMA have published translations of the MAR "guidelines on information relating to commodity derivatives markets or relates spot markets for the purpose of the definition of inside information" (see here for…
What does 2017 have in store for us?
For many, today is the first working day of 2017, which is also the original start date of MiFID II, before it was delayed by a year. With an eventful…
Another year of regulation is nearly over – with some new Q+As
ESMA yesterday issued a questions and answers document on MiFID data reporting, which can be found here. The requirements apply to investment firms, including those in energy and commodities who…
Ofgem open letter – the anti abuse focus continues
Ofgem, Great Britain's National Regulatory Authority (NRA) yesterday issued this open letter to the market on the topic of "scarcity pricing" and conduct. It reminds market participants that generation must…
Fines in the banking world
The CFTC in the US have fined Société Générale SA $450,000 for failing to report trades to an SDR (Swaps Data Repository). The notice can be found here. The bank…
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