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...
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...
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...
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...
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...
ESMA Updates Q&As on MiFID II and MiFIR Investor Protection & Intermediaries ESMA has updated its questions and answers on the implementation of investor protection topics under the Markets in Financial Instruments Directive and Regulation. On December 4th,...
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