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)…
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FCA 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 moreESMA fines REGIS-TR €186000 for EMIR data breaches
The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, fined €186,000 trade repository REGIS-TR for eight breaches…
Read moreESMA fines DTCC Derivatives Repository
Europe’s regulator, European Securities and Markets Authority (ESMA), fines DTCC Derivatives Repository Plc (DDRL) for European Market Infrastructure Regulation (EMIR)…
Read moreEliminate Trade Reporting Threats for Inaccurate Submissions
In March 2019, the Financial Conduct Authority (FCA) of the United Kingdom issued substantial fines to two large banks—Wall Street…
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