Articles

ESMA Identifies Costs and Performance and Data Quality Supervisory Priorities

13th November 2020

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, using its new convergence powers, has...

9th November 2020

Why you need a robust control framework for your regulatory reporting Data quality issues could end up costing your firm if they fail to...

15th October 2020

The FCA has fined a firm for the first time for a breach of the Short Selling Regulation (SSR) The firm failed to notify the FCA and...

29th September 2020

ESMA has published an updated Q&A document on data reporting under MiFIR . The updated Q&As document includes a new Q&A and two...

25th September 2020

ESMA have released a Consultation Paper – “MiFIR review report on the obligations to report transactions and reference data” Article 26(10...

7th September 2020

FCA have today released Market Watch 65 which highlights several areas of concern with regards to MiFID transaction reporting, including:...

10th July 2020

On 8 July 2020, ESMA published new Q&A for MiFIR Transaction reporting . The MiFIR Q&A contains two additional scenarios where an...

8th June 2020

The FCA takes the opportunity to remind firms of the importance of Transaction Reporting FCA published Market Watch 63 last week, and in it...