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Trade Surveillance Solutions

An effective trade surveillance system is key to providing clarity and transparency in today’s global market. With so many regulatory requirements to adhere to, a forward-thinking strategy around trade surveillance and compliance monitoring doesn’t just help you to meet regulations – it can help you surpass them. With the right trade surveillance systems, you can generate insight, reduce the risks of penalties and keep your firm competitive.

Regulatory Compliance

MiFID II, implemented by the European Securities and Markets Authority (ESMA), is designed to make financial markets more efficient and resilient. It focuses on improving transactional transparency, strengthening the protection of investors and preventing market abuse from occurring.

With around 30,000 pages of rules, the implementation of this new regulatory framework marks the biggest change to financial markets in a decade. While technically a European piece of legislation, MiFID II has fundamentally altered financial institutions around the world.

ESMA Publishes Opinions on Position Limits under MiFID II

Updated Opinions on Position Limits Under MiFID II Published by ESMA On February 7th, ESMA published seven opinions on position limits regarding commodity derivatives under MiFID II/MiFIR.  The opinions published by ESMA agree with a number of proposed position limits regarding:  ICE Endex Dutch...

Non-Compliance Fines Exceed $36 Billion Since 2008 Financial Crisis

Global financial institutions have been fined over $36 billion since 2008 At the close of the decade, global fines for non-compliance with Anti-Money Laundering (AML), Know your Customer (KYC) and sanctions regulations have exceeded $36 billion since the financial crisis of 2007-2008.  2019 saw a...

FSMA Releases Brochure on MiFID II Investor Protection Rules

FSMA Publishes Educational Brochure on MiFID II Investor Protection The Financial Services and Markets Authority (FSMA) has published a brochure intended to help investors and consumers better understand their rights.  The brochure also outlines what obligations bind the firms who provide them...

MiFID III – How Regulatory Bodies Can Improve On MiFID II

REGULATORY MiFID III - How Regulatory Bodies Can Improve On MiFID II It has now been two years since MiFID II was first implemented, and its impact on investors and the markets more generally is gradually becoming clearer.  With this clarity comes a greater understanding of how some of the more...

Fifth Of UK Fund Managers Admit To Inaccurate Reporting

Fifth Of UK Fund Managers Make Reporting Errors to FCA According to data obtained under an FOI request by Duff & Phelps, approximately one-fifth of all UK fund managers are guilty of making errors in their transaction reporting to the Financial Conduct Authority (FCA).  These errors have been...

Trade Surveillance Solutions

An effective trade surveillance system is key to providing clarity and transparency in today’s global market. With so many regulatory requirements to adhere to, a forward-thinking strategy around trade surveillance and compliance monitoring doesn’t just help you to meet regulations – it can help you surpass them. With the right trade surveillance systems, you can generate insight, reduce the risks of penalties and keep your firm competitive.

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