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Navigating your European reporting obligations can be tricky.
We’ve answered some of our most frequently asked questions below to help you understand your transaction reporting obligations a little better.
Are you unsure if you have EMIR and/or MiFIR reporting obligations or whether you are reporting completely and correctly?
A UK investment bank has been fined £178,000 by the FCA for failing to have adequate controls and procedures to monitor transactions.
The United Kingdom has severed ties with the European Union and the post-Brexit trade deal is operating but what does this mean for your trade/transaction reporting?
As part of MiFIR/UK MiFIR, Investment Firms should have arrangements in place to regularly reconcile their front office transactions against data samples provided by their National Competent Authority (NCA).
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.
We recommend all European investment firms (IFs) review CySEC’s circular which identified a number of issues with MiFIR transaction reporting undertaken.