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 ...Read More
MiFID II has hit the half year mark, which means regulators now have six months of data to look at. To delve deeper as to what ESMA and local National Competent Authorities (NCAs) are doing with ...Read More
Regulation and compliance continues to evolve. While EMIR and MiFID II are worries of yesterday and today, tomorrow has its own set of acronyms worrying compliance officers.
With this in mind, ...Read More
Merrill Lynch today became the first investment firm to be fined for a breach in EMIR Reporting. Fined by the UK’s Financial Conduct Authority (FCA), Merrill Lynch will be paying £34.5 million. ...Read More
The deeper EU financial firms are engaged with complying with the upcoming MiFID II regulations, the greater the challenges.
Going into effect this coming January, MiFID II regulation includes a ...Read More