• Control Now communication with ESMA

    13/01/23

    List 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

    12/01/23

    CYSEC 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)

    11/01/23

    Observations from the FCA on the quality of service DRSPs provide to their clients.

  • EMIR REFIT: EXAMPLE ERRORS AND OMISSIONS

    20/12/22

    ESMA 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

    20/12/22

    ESMA have today published the EMIR Refit Reporting ISO 20022 XML SCHEMA.

  • EMIR REFIT: REPORTING REWRITE VALIDATIONS PUBLISHED

    20/12/22

    ESMA have today published the EMIR Refit Reporting Validations.

  • EMIR REFIT: Reporting Rewrite Guidelines Published

    20/12/22

    ESMA have today published the EMIR Refit Reporting Guidelines.

  • £700,000+ fines for transaction reporting & market abuse reporting failures

    15/12/22

    Sigma 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

    11/12/22

    Highlights of the changes which might have an impact on UK MiFIR and EMIR Transaction Reporting regimes.

  • Japan OTC reporting requirements update

    09/12/22

    Japan'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)

    08/12/22

    The 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)

    11/11/22

    The 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

    11/10/22

    Information 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

    10/10/22

    ESMA 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

    07/10/22

    CN's summary of the new RTS written by ESMA on inter-TR reconciliation to correct the "lack of initial specification of the reconciliation process".

1 2 9 10