Financial Conduct Authority (FCA)
UK Firms Consider How Brexit May Change Compliance Data Needs
The message from regulators is clear: firms must comply with current European regimes. But in the longer term, the answer is that the only certainty is uncertainty
FCA Sets Sights on Regtech
UK regulator's Project Innovate looks at regulatory reporting, KYC
Opening Cross: Alternatives, Alternatives...
Looking for exposure to alternative investments? You'll need alternative types of data.
Dark Pool Caps: Lighting Up the Darkness
Restrictions on the use of dark-pool trading waivers come into force as part of MiFID II but some in the industry believe the rules will do more harm than good.
Frost Consulting Releases Research Valuation, Budgeting Software Platform
FrostRB allows asset managers to meet MiFID II requirements around research spending.
PRA’s Bailey Appointed as New FCA Chief Executive
Prudential Regulatory Authority’s Andrew Bailey steps up to take UK regulatory hot seat starting in July.
ETAS Panel: Don't Assume Delays on MiFID 2
Users should still plan to be compliant by the originally scheduled dates, panelists warned.
Algo Testing a Major Concern Under MiFID II, ETAS Panelists Say
Clarity of definitions and testing environments are still major hurdles for firms' MiFID II readiness, panelists say.
Algo Testing a Major Concern Under MiFID II, ETAS Panelists Say
Clarity of definitions and testing environments are still major hurdles for firms' MiFID II readiness, panelists say.
UK Authorities Adding LEI Capability For Filings
In November, funds may be identified to UK regulators using legal entity identifier
Broker Commissions: The Great Unbundling Bungle
Handling sell-side research and commissions has typically been a mundane and relatively simple function for investment managers. But regulatory authorities in Europe are about to turn the process upside down with a little-known but potentially impactful…
Bloomberg Multilateral Trading Facility Launches Following FCA Approval
Bloomberg Trading Facility receives UK Financial Conduct Authority to trade interest rate swaps and credit default swaps.
ESMA's High Hopes for Centralized Reporting
Delegated task is 'a milestone for a new system of financial supervision'
BoA Merrill Lynch Handed £13.2 Million Transaction Reporting Fine
Record fine handed down by UK regulator FCA for incorrect reporting of 35 million trades.
Eze Software Unveils Tool to Help Buy Side Evaluate Brokers
Broker Review was released after Eze acquired Broker Select & Recap last year.
Trading Technologies to Offer GMEX Exchange Access
TT customers to have access to exchange following Q2 2105 launch.
The Cherry (Picking) on Top
The FCA's latest fine blows the mind ... just a little.
Aviva Investors Fined £17.6m by FCA Over Risk Management Failings
Asset management business also pays out £132m to eight funds in compensation.
Regulation: The Driving Force Behind a Financial Overhaul
Factset's King argues that research management systems can provide audit trails for regulatory compliance.
Major Banks Fined Billions for FX Market Abuse
Tier-one firms collectively penalized in joint regulatory action.
Nobody Reads These Things Anyway, Right?
Deutsche's FCA penalty leads this week's coverage.
FCA Fines Deutsche Bank for Extensive Reporting Errors
The UK Financial Conduct Authority (FCA) has levied a fine of £4.7 million (approximately $7.8 million) on Deutsche Bank for submitting nearly 30 million incorrect trading reports over a number of years.
Midnight in the Rue Jules Verne
FCA chief’s remarks and the UK’s moves to regulate FX lead this week’s coverage.
UK Chancellor Promises FX Market Review, Benchmark Oversight
George Osborne MP, the UK Chancellor of the Exchequer, has instigated a wholesale review of how foreign-exchange (FX) markets in the UK are regulated, along with widening the scope of which benchmarks are covered by new legislation on market abuse.