-
Control Now communication with ESMA
13/01/23List of the queries Control Now have opened with ESMA and the references to responses received from ESMA's Market Data Policy Team.
-
CySEC reviews EMIR data quality
12/01/23CYSEC have completed 40 reviews of reporting firm data between Jan 21 & Aug 22. We have summarized the findings here.
-
Market Watch 72: FCA review quality of service from ARMs & APAs (DRSPs)
11/01/23Observations from the FCA on the quality of service DRSPs provide to their clients.
-
EMIR REFIT: EXAMPLE ERRORS AND OMISSIONS
20/12/22ESMA have provided a template and guidance for how to communicate errors and omissions for EMIR REFIT with them.
-
EMIR REFIT: REPORTING REWRITE, ISO 20022 XML SCHEMA PUBLISHED
20/12/22ESMA have today published the EMIR Refit Reporting ISO 20022 XML SCHEMA.
-
EMIR REFIT: REPORTING REWRITE VALIDATIONS PUBLISHED
20/12/22ESMA have today published the EMIR Refit Reporting Validations.
-
EMIR REFIT: Reporting Rewrite Guidelines Published
20/12/22ESMA have today published the EMIR Refit Reporting Guidelines.
-
£700,000+ fines for transaction reporting & market abuse reporting failures
15/12/22Sigma Broking failed to report 56,000 MTCH transaction reports and 24 STORs resulting in over £700,000 of fines.
-
Edinburgh Reforms: Impact to UK Reporting Regimes
11/12/22Highlights of the changes which might have an impact on UK MiFIR and EMIR Transaction Reporting regimes.
-
Japan OTC reporting requirements update
09/12/22Japan's FSA have published new OTC reporting requirements which go live on 2024-04-01.
-
FCA FINES BGC/GFI £4.5M+ (MARKET ABUSE SYSTEM & CONTROLS)
08/12/22The FCA has fined BGC/GFI £4,775,200 for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse.
-
CSA guidance for Transition Period (CFTC vs CSA trade reporting regimes)
11/11/22The CSA have provided guidance to assist reporting counterparties in complying with the Trade Reporting rules during the transition period (between CFTC go live and CSA go live).
-
EMIR REFIT RTS REWRITE: REPORTING UPDATES
11/10/22Information you need to know to plan your EMIR Reporting rewrite, due by 29th April 2024.
-
ESMA key priority for next 5 years: effective use of data
10/10/22ESMA have highlighted that effective use of data will be a key strategic priority for them until at least 2028.
-
EMIR REFIT RTS REWRITE: INTER TR RECONCILIATION
07/10/22CN's summary of the new RTS written by ESMA on inter-TR reconciliation to correct the "lack of initial specification of the reconciliation process".
