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31 January 2017

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FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings

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The Financial Conduct Authority (FCA) has today fined Deutsche Bank AG (Deutsche Bank) £163,076,224 for failing to maintain an adequate anti-money laundering (AML) control framework during the period between 1 January 2012 and 31 December 2015. This is the largest financial penalty for AML controls failings ever imposed by the FCA, or its predecessor the …

FCA fines Deutsche Bank £163 million for serious anti-money laundering controls failings Read More »

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ESMA updates Q&As on MiFID II transparency and market structure topics

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The European Securities and Markets Authority (ESMA) has updated two Questions and Answers (Q&A) documents on implementation issues relating to transparency and market structure topics under the revised Market in Financial Instruments Directive and Regulation (MiFID II/ MiFIR). Transparency Q&A: Systematic Internalisers MiFID II/ MiFIR extends the Systematic Internaliser (SI) regime to other equity-like instruments, …

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ESMA consults on future guidelines for portability between trade repositories

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The European Securities and Markets Authority (ESMA) has put for public consultation future guidelines on the transfer of data between trade repositories (TRs) authorised in the European Union under the European Market Infrastructure Regulation (EMIR). There are currently six authorised TRs within the European Union which record the records of derivative transactions and which are …

ESMA consults on future guidelines for portability between trade repositories Read More »

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