How does your MiFIR transaction reporting help combat financial crimes?
A UK investment bank has been fined £178,000 by the FCA for failing to have adequate controls and procedures to monitor transactions.
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?
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.
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.
TRAction is proud to announce an expanded collaborative partnership with UnaVista, London Stock Exchange Group’s regulatory reporting platform.
TRAction recently participated in the Trade and Transaction reporting 2019 conference in London. Of note was the presentation by Ana Fernandes, manager of the Financial Conduct Authority’s (FCA) Markets Reporting Team, responsible for MiFIR reporting oversight. Is the FCA about to get strict on MiFIR reporting?
Both the Financial Conduct Authority and Cyprus Securities and Exchange Commission have made it clear that one of their main focus areas in 2019 is to review and continue monitoring investment firms’ MiFID II and EMIR transaction reporting compliance.