The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate...
Month: January 2017
The European Securities and Markets Authority (ESMA) has updated two Questions and Answers (Q&A) documents on implementation issues relating to...
The European Securities and Markets Authority (ESMA) has put for public consultation future guidelines on the transfer of data between...
The European Securities and Markets Authority (ESMA) has today issued an Opinion on the extent to which different types of...
The European Securities and Markets Authority (ESMA) has published a new Questions and Answers (Q&A) document, comprising six questions, on...
What every Compliance professional has to consider now “I’ve seen the future of Compliance and it ‘s not looking good...
The Autorité des Marchés Financiers (AMF) has published a detailed analysis of the activity of market participants engaged in high-frequency...
The U.S. Financial Industry Regulatory Authority (FINRA) today published a report on Distributed Ledger Technology and the implications of Blockchain for...
Toward the end of 2016, ESMA published guidelines for transaction reporting under the Markets in Financial Instruments Directive (MiFID II)...
As a subset of its bigger sibling FinTech, RegTech was going to attract the attention of regulators sooner or later....
The European Securities and Markets Authority (ESMA) finds that national regulators are giving greater attention to best execution requirements under...
