Topic
Transaction Reporting
79 published works
Corporate & Financial Weekly Digest
ESMA Publishes Final Report to Amend MiFIR RTS on Transaction Reporting
On May 4, the European Securities and Markets Authority (ESMA) published a final report (Final Report) setting out an amendment to the draft Markets in Financial Instruments Regulation (MiFIR) regulatory…
Banking, Finance and Securities
ESMA proposes to amend draft MiFIR standard on transaction reporting
On 28 September 2015, the European Securities and Markets Authority (ESMA) submitted to the European Commission draft regulatory technical standards on reporting obligations under article 26 of MiFIR (RTS 22).…
Corporate & Financial Weekly Digest
ESMA Publishes Consultation Guidelines on MiFIR
On December 23, 2015, the European Securities and Markets Authority (ESMA) published consultation guidelines (Guidelines) in relation to Markets in Financial Instruments (MiFIR). The Guidelines are intended to complement ESMA…
Banking, Finance and Securities
ESMA consults on transaction reporting, reference data, record-keeping and clock synchronisation under MiFIR
The European Securities and Markets Authority (ESMA) has published a consultation paper on draft guidelines on the application of its final draft regulatory technical standards (RTS) on transaction reporting, instrument…
Corporate & Financial Weekly Digest
FINRA Proposes Changes to the Reporting Requirements for TRACE-Eligible Securities
On July 2, the Financial Industry Regulatory Authority proposed to amend FINRA Rule 6730 (Transaction Reporting) to require member firms to report transactions in eligible securities that are subject to…
Corporate & Financial Weekly Digest
UK FCA Publishes Latest “Market Watch” Newsletter
By Neil Robson
The UK Financial Conduct Authority (FCA) published the 48th edition of its “Market Watch” newsletter on June 22. Market Watch is the FCA’s periodic newsletter for publishing its guidance on market…
Banking, Finance and Securities
Market Watch 48
The FCA has published the latest edition of Market Watch (issue 48), its newsletter on market conduct and transaction reporting issues. This issue of Market Watch covers the following: Trade…
Washington Energy Report
Ninth Circuit Finds Scope of FERC’s California Energy Crisis Remand Proceedings Too Narrow, Remands for Further Proceedings
On April 29, 2015, the United States Court of Appeals for the Ninth Circuit (the “Ninth Circuit”) held that FERC failed to comply with the court’s remand order in a…
Corporate & Financial Weekly Digest
FCA Releases Updated Transaction Reporting User Pack
By Neil Robson
On February 6, the Financial Conduct Authority (FCA) published an updated version of its transaction reporting user pack (TRUP). The TRUP provides market participants (including FCA authorized firms, firms from…
Banking, Finance and Securities
FCA releases revised version of TRUP
In May 2014, the FCA published Guidance Consultation 14/2: Revision of Transaction Reporting User Pack Version 3, proposing clarification to certain parts of the transaction reporting user pack. The FCA…