The UK's Financial Conduct Authority has published this paper entitled "Transforming Culture in Financial Services". It contains several essays from different parties on "good" culture in financial services organisations and…
There has been much general discussion on the Global Data Protection Regulation(GDPR) since the last post on the topic (see here). The rules start to apply in May and are…
Last weekend saw the 2 month anniversary of MiFID II. Although some things are settling down, there are still a few issues that have been reported since our last post…
ESMA has updated the EMIR validations spreadsheet, which can be found here. The changes can be found on rows 47 and 68 with the first change reflecting the need to…
As week 9 of MiFID II starts, many are getting used to the rules being in force. However there are many questions still unanswered: It has been reported that the…
We are now in week 6 of MiFID II. Although the announcements have settled down, we now see a few pieces of news since our last post that point to…
The UK's Financial Conduct Authority (FCA) yesterday issued this report on "Algorithmic Trading Compliance in Wholesale markets. It reviews the requirements of MiFID II, MAR and local legislation for those…
MiFID II has been in place for over a month. While the rules are "settling in", there have been various developments since our last post (see here). On the position…
Updates and new around MiFID II continue, following our post last week (see here). The European Commission has issued a warning to 12 member states that they must transpose MiFID…
The UK's Financial Conduct Authority yesterday set a new position limit on a contract for Swiss baseload power. It will apply from 31st March 2018. The updated list of FCA…