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:…
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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 moreArticle 26 of MiFIR Corporate Actions
Article 26 of MiFIR Corporate Actions In which level do the transaction reporting requirements under Article 26 of MiFIR apply…
Read moreMIFIR Annex II – Validator (ESMA Q&A – Question 2)
ESMA has set the rules for the Natural Persons Identifiers to be used in MIFIR transaction reporting. In accordance with ESMA…
Read moreESMA Regulated Markets (RM)
Regulated Market (RM) – A multilateral system ran and/ or managed by a market operator subject to enhanced government requirements,…
Read moreESMA Approved Reporting Mechanism (ARM)
Approved Reporting Mechanism (ARM) means a person authorised under the provisions established in the MiFID II Directive to provide the…
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