2020 does not have to be harder than it already is. With all the reading that needs to be done to keep up with Coronavirus, US Presidential Elections and Brexit, dealing with regulatory updates too can feel a little unbearable.
In what will feel like unusual good news for compliance departments across Europe, ESMA’s recent publication has questioned the efficacy of best execution.
NCA identifies common mistakes in MiFIR transaction reporting – Do you have any? What should you do?
We recommend all European investment firms (IFs) review CySEC’s circular which identified a number of issues with MiFIR transaction reporting undertaken.
We would like to remind all CySEC Reporting Entities (REs) of their obligation to seek approval for a cancellation, correction or late submission in their MiFIR reporting.
The UK’s FCA recently released Market Watch 65 identifies 5 common errors relating to MiFIR transaction reporting.