FCA fines UK Investment Firm £178,000 for fraudulent trading and money laundering 12th May 2021 FCA fines a UK Investment Firm £178,000 for inadequate systems and controls to identify and mitigate the risk of being used to facilitate... Read more
ESMA MiFIR review report on the obligations to report transactions and reference data 1st April 2021 Article 26(10) of MiFIR requires the European Commission (EC) to present a report to the European Parliament and the Council to assess the... Read more
BearingPoint RegTech partners with UnaVista to simplify reporting for European firms 5th February 2021 Through this new partnership, the company offers clients access to best-in-class ARM services and Trade Repositories BearingPoint RegTech... Read more
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... Read more
Why you need a robust control framework for your regulatory reporting 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... Read more
FCA Fines Hedge Fund Over Short Selling 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... Read more
ESMA - Q&A document on data reporting under MiFIR 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... Read more
ESMA Consultation Paper – MiFIR review report on the obligations to report transactions and reference data 25th September 2020 ESMA have released a Consultation Paper – “MiFIR review report on the obligations to report transactions and reference data” Article 26(10... Read more
