Topic
Transaction Reporting
79 published works
Corporate & Financial Weekly Digest
Amendments Published to Ensure EMIR REFIT is Fully Effective in the UK
By Carolyn H. Jackson, Nathaniel Lalone, Neil Robson
On June 18, 2019, the Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) (Amendment) Regulations 2019 (the Regulations) were published on legislation.gov.uk with…
Cleary Enforcement Watch
FCA Continues Focus on Transaction Reporting Breaches
By Jonathan Kelly, James Brady‑Banzet, Ferdisha Snagg
In recent weeks two enforcement actions by the UK Financial Conduct Authority (“FCA”) against regulated firms have highlighted the regulator’s continued scrutiny of transaction reporting. In the decisions, the FCA…
Corporate & Financial Weekly Digest
FCA Publishes Market Watch Newsletter on Transaction Reporting Issues and Market Conduct
By Carolyn H. Jackson, Nathaniel Lalone, Neil Robson
On April 17, the UK Financial Conduct Authority (FCA) published issue 59 of its Market Watch newsletter. In this issue, the FCA details its findings on the implementation of the…
Global Regulation Tomorrow
FCA Market Watch 59
By Hannah Meakin (UK), Imogen Garner (UK)
On 17 April 2019, the FCA published the latest issue of Market Watch (no. 59), its newsletter on market conduct and transaction reporting issues. This issue of Market Watch covers:…
UK Finance Disputes and Regulatory Investigations Blog
FCA hands out second large fine in as many weeks for transaction reporting failures
By Chris Webber, Squire Patton Boggs
The Financial Conduct Authority has imposed a fine of £34,344,700 on Goldman Sachs International (“GSI”) for breaches of transaction reporting obligations. The fine comes just over a week after the…
Global Regulation Tomorrow
FCA fines multinational firm £27.6 million for transaction reporting failures
By David Harris (UK), Sarah Greenwood (UK)
The Financial Conduct Authority (FCA) has fined a multinational investment bank and financial services company (the Firm) £27,599,400 for failing to ensure it provided complete and accurate information to approximately…
UK Finance Disputes and Regulatory Investigations Blog
UBS fined £27.6m for transaction reporting failures
By Chris Webber
The Financial Conduct Authority has imposed a fine of £27,599,400 on UBS AG for breaches of transaction reporting obligations imposed by MiFID (the Markets in Financial Instruments Directive (2004/39/EC), as…
Corporate & Financial Weekly Digest
European Commission Publishes Communication on Proposed ESMA Amendments to MiFIR RTS
By Carolyn H. Jackson, Nathaniel Lalone, Neil Robson
On September 3, the European Commission (EC) published a communication, dated August 10, in response to a proposal from the European Securities and Markets Authority (ESMA) regarding amendments to Delegated…
Banking, Finance and Securities
ESMA template for MiFID II SI calculations
On 20 July 2018, the European Securities and Markets Authority (ESMA) released a template to be used to publish the first set of figures necessary for investment firms to assess…
Corporate & Financial Weekly Digest
FINRA Proposes Rule Change Regarding ATS Reporting of Transactions to TRACE
By Michael T. Foley, Gregory A. Uffner
The Financial Industry Regulatory Authority recently filed a proposed rule change with the Securities and Exchange Commission to amend FINRA Rule 6730 regarding transaction reporting. Currently under Rule 6730, US…