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mifid

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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LEI's and MiFID II, why you need one and how to get one

Back in April 2016, Cappitech took a look at LEIs and why they are an integral part of EMIR derivative reporting requirements. With MiFID II coming into effect on January 2018, we felt it was time ...

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MiFID II: Is your firm a systematic internalizer? (Calculations delayed)

With the initiation of MIFID I trade reporting of equities in the EU in 2007, it created a new status of companies called ‘Systematic Internalizers’ (SI). An SI is a firm that deals on its own ...

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FXCM on the Offensive, MiFID II Looms and CME FX Futures Improving

FXCM has recently issued their execution quality paper again. First published in February of this year with data from October 2014 to August 2015 comparing their pricing compared to FX futures and ...

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MiFID Penalties Hit Retail Sector as 24option Site Pulled in France by AMF

Reported over the weekend, one of the world’s largest binary options brokers, 24option, has closed its website to French customers. According to Finance Magnates, the closure is due to the French ...

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ESMA Singles Out Cyprus in Warning of CFD/Forex/Binary Options Products

The European Securities and Markets Authority (ESMA) has issued a new warning against CFD, Forex and Binary Options products today, citing their high level of risk. According to ESMA, the public ...

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Do UK firms still have to care about EMIR and MiFID II after Brexit?

With the Breixt referendum leading to a ‘leave’ vote, it puts doubt on the future of financial reporting requirements for UK firms. Notably, EMIR regulation, which went into effect in 2014 and is ...

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ESMA Q&A on CFDs/Forex/Binary Options looks at conflict of interest risks

As binary options and other high risk leveraged products for retail customers have been garnering negative headlines recently, the European Securities and Markets Authority (ESMA) has published a ...

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