European Securities and Markets Authority Sanctions REGIS-TR – A Clear Supervisory Signal
ESMA has announced sanctions against REGIS-TR for serious breaches of organisational requirements. Importantly, the issue was not about a specific…
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Eliminate 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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