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MiFID II Compliance and Transaction Reporting Reviews Featured in FCA 2019/20 Business Plan

The FCA has published their 2019/20 Business Plan. The document features the regulator’s focus of supervisory priorities for this year and next. Included are eight priorities across the seven ...

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Cappitech Launches MiFID II Market Intelligence Product, Enabling Financial Institutions To Monetise Regulatory Reporting Data

Cappitech announces the launch of RTS 28 Market Intelligence, a product that allows financial institutions to use regulatory compliance data to their own advantage. The electronic surveillance and ...

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Goldman Sachs and UBS fined £34.3m and £27.6m for Transaction Reporting failures

In twin announcements this month, the FCA has fined Goldman Sachs and UBS fined £34.3 million and £27.6 million respectively for MiFID I Transaction Reporting failures. The two investment banks ...

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Cappitech launches ‘Insights’ tool for peer review regulatory analysis

With MIFID II now over a year old, the focus has moved from mere ‘compliance’ to ‘improving the data quality’ of submitted reports.  Heading into 2018, most EU firms were under pressure to comply ...

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Cryptocurrency Regulation, Cybersecurity and EMIR Updates Headline Cappitech's Compliance Breakfast

Last week, Cappitech held its quarterly London Compliance Working Group. After four successful events in 2018, this was the first of 2019.

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Best Execution: Essential for Asset Managers and Hedge Funds Looking to Comply and Improve Performance

Yield and performance. The heart of every asset manager's business. The driving force behind the day-to-day activity of buy-side firms. Yet, how many of these firms view complying with best ...

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Does Your MiFID II Reporting Meet Regulators' Standards & is it Brexit Ready?

Now that we are a year post MiFID II, it’s fair to assume that most capital markets firms have their houses in order with respect to complying with MiFID II’s extensive rules. However, they did ...

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FCA and CySEC expanding MiFID II monitoring to Best Execution and RTS 27/28 requirements

At the start of 2018, there was an unofficial understanding among EU regulators that they were providing investment firms a six month ‘grace period’ for complying with MiFID II reporting ...

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Cryptocurrency reporting for EMIR and MiFIR may be on their way as ESMA seeks cross-EU standards

Where cryptocurrencies fall within EMIR and MiFID II has been an area of debate over the last few years. Specifically, with the popularity of Initial Coin Offerings (ICO) and bitcoin CFDs, crypto ...

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European Commission adopts SFTR, regulation set for go live in Q2 2020

Drafted by the European Parliament in 2015 and approved in 2017, Securities Financing Transaction Regulation (SFTR) was adopted by the European Commission (EC) last week. The adoption comes after ...

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