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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 ...

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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, ...

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£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. ...

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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 ...

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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 ...

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Meet us at the London Summit and see Cappitech’s new global reporting technology

Coming up next Monday and Tuesday, November 14th and 15th, Cappitech will be exhibiting at the Finance Magnates London Summit.

At the event, we will be providing our first public live ...

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Financial compliance in the cloud? It’s happening everywhere, along with EMIR Regulation

As a cloud based provider of EMIR regulation reporting services, an oft asked question is whether the financial industry is ready for public cloud hosted platforms?

For good reason, major firms in ...

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