<img height="1" width="1" src="https://www.facebook.com/tr?id=272065416768206&amp;ev=PageView &amp;noscript=1">
Browsing Category

fca

FCA Market Watch 59 addresses Reconciliation and MiFIR Errors

The FCA has recently issued their latest Market Watch Report (link). The newsletter is released periodically by the UK financial regulator and focuses on Market Conduct and Transaction Reporting ...

Read More

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 ...

Read More

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 ...

Read More

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.

Read More

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 ...

Read More

What Regulators do with your MiFID II data, EMIR Changes and Compliance Updates

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

What’s next on the minds of CFD broker compliance teams? Capital Requirements

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

£34.5 million EMIR Reporting Fine Slapped by FCA on Merrill Lynch

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

MiFID II leniency could be coming from the FCA for diligent firms

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

FCA/CySEC/ESMA Collusion to Damage CFD/Forex/Binary Options Industry?

Within the Cappitech blog, we’ve focused a lot on the change in sentiment among regulators towards Forex/CFD/Binary Options brokers. From bans on online advertising and restrictions on how brokers ...

Read More

Recent Posts