MiFIR EU/UK Instrument Eligibility – Automated by Point Nine
Determining whether a financial instrument is reportable under MiFIR isn’t always straightforward. The scope depends on where the instrument is…
Read moreLatest Posts
FCA Market Watch 84
In this edition , the FCA and Bank of England reviewed the UK EMIR reporting regime following the REFIT changes…
Read more
FCA Fines Sigma Broking £1.09M for Years of Transaction Reporting Failures
Date of Notice: 29 July 2025 Reporting Failures: 924,584 transactions Period: 1 December 2018 – 1 December 2023 MiFIR Breach:…
Read more
FCA Market Watch 82 – Focus on Surveillance Over Unauthorised Trading
In its Market Watch 82, the UK Financial Conduct Authority (FCA) highlights increasing concerns around unauthorised trading activity, with particular…
Read more
FCA and Bank of England Propose Targeted Amendments to UK EMIR Reporting Standards 2025
On 6 June 2025, the Financial Conduct Authority (FCA) and the Bank of England jointly published Consultation Paper CP25/16, proposing…
Read more
Upcoming Regulatory Changes and Data Quality Trends in EMIR and UK EMIR Reporting
As the regulatory landscape continues to evolve, firms subject to EMIR and UK EMIR reporting obligations must remain vigilant in…
Read more
The FCA issues First Fine for MiFIR Transaction Reporting Failures
The Financial Conduct Authority (FCA) has imposed its first-ever fine for MiFIR transaction reporting failures, penalising Infinox Capital Limited (£99,200)…
Read more
FCA Market Watch 81
In this edition of Market Watch 81, the FCA focuses on the data quality of transaction reporting, noting a trend…
Read more
UK EMIR REFIT UPDATE (JULY 2024)
The FCA and the Bank of England published updated guidance and finalised the changes to the UK EMIR Validation Rules….
Read more
FCA Market Watch 74
In this edition of Market Watch, the FCA describes some common transaction reporting issues they recently observed under RTS 22…
Read more
FCA: UK MiFIR transaction reporting update (Supervisory flexibility on transaction reporting)
The FCA announced that they would be putting in place further temporary measures for the reporting of certain fields in…
Read more
UK EMIR REFIT UPDATE
The FCA has now published the final versions of the UK EMIR Validation Rules and XML Schemas. This follows the…
Read more
The FCA publishes its new rules for reporting under UK EMIR REFIT
The FCA published a joint FCA/Bank of England Policy Statement (PS 23/2) alongside the final amendments to Technical Standards and…
Read moreFCA Market Watch 72
In this edition of Market Watch 72, the FCA outlines their recent findings on the quality of service provided by…
Read moreFCA Market Watch 71
In this edition of Market Watch , The FCA reminds firms of the requirement within UK Market Abuse Regulation (MAR)…
Read moreUK SFTR and the LEI requirements of 3rd country issuers
UK FCA issues update on the LEI requirements of 3rd country issuers. We note their statement is very much in…
Read moreFCA Market Watch 70
In this Market Watch , the FCA outlines its recent observations on the transaction reporting and instrument reference data regimes….
Read moreFCA fines Citigroup’s international broker-dealer £12.6m
The Financial Conduct Authority has fined Citigroup Global Markets Limited (Citigroup Global Markets) £12,553,800 for failing to properly implement the…
Read moreNew MIFIR Validation Rules (Q2 2022) – Implementation
Point Nine Implemented New MIFIR Validation Rules (Q2 2022) Following the previous announcement sent on the 10th November 2021 pertaining…
Read more
Changes to UK MiFID’s Conduct and Organisational Requirements
PS21/20: FCA set their final policy position and rules on changes to the research rules and the removal of the…
Read moreMIFIR Transaction Reporting Validation Rules (October 2021)
Our team of experts has already reviewed the impending validations from ESMA & FCA which was announced October 12th. Although…
Read moreLearn the Updated SFTR Reporting Recommendations
October 21, 2021: The ERCC published an updated edition of the ICMA Recommendations for Reporting under SFTR . The ICMA Recommendations…
Read moreESMA and FCA Suspends RTS 27
In light of the Covid-19 pandemic, ESMA issued a Public Statement on 31 March 2020 to clarify issues regarding the…
Read moreUK EMIR Updates, 21 June 2021
The UK Regulator gives emphasis on the updated Reporting Validation rules as well as the margin requirements under UK EMIR…
Read moreFCA Investment Firms (IF)
The Investment firms register is a public register of investment firms authorised by the FCA that provide or perform MiFID…
Read morePoint Nine is FCA FIRDS ready
With the deadline of the Transition Period of BREXIT approaching, December 31 2020, FCA FIRDS has been built to replace…
Read more