Corporate Actions and Trade Reporting
Corporate actions bring about material changes to an organisation and impact its stakeholders, including both stock and debt holders. To be implemented, the decision generally needs to be approved by the company’s board of directors, the shareholders or both as the corporate action directly affects the securities issued by the company.
FCA Market Watch 70 – Recent Observations on Transaction Reporting
Although these observations are released by the FCA in respect of firms they regulate in the UK, they have significance for all firms subject to the equivalent MIFID II and MiFIR regimes in the EU.
ESMA Q&A Update – Regarding Third Country Issues Under MiFID II and MiFIR Transparency Requirements
Topic MiFID II and MiFIR Transparency Date 5 September 2022 Regulations MiFID II and MiFIR Articles 20 and 21 of MiFIR Level of Significance of Change Minor Main Points This question and answer update confirms that transactions between branches of the same legal entity, or between a branch and its head office, are not subject […]
Trade Reporting for Foreign Payment/Money Transfer Providers
Globally there are a host of foreign exchange brokers which allow their customers to move currency to and from different countries and currencies. These companies are subject to different requirements based on the jurisdiction where they are based and the role they play in the market.
Sophie Gerber Discuss Regulation and Compliance At The iFX Expo Cyprus
TRAction’s Co-CEO, Sophie Gerber, provided her insights on the dichotomy between relevance and compliance.
