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…
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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…
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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 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 moreEuropean Commission (EC) Extends Equivalence for UK CCPs
We would like to inform you that on the 8 th of February, the European Commission (EC) took the decision…
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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 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 moreAn Update on the UK Financial Services Update (Brexit)
It’s no secret that our world is changing drastically. Years before the COVID pandemic hit, the financial services industry in…
Read morePoint Nine Further Expands its Business to London, United Kingdom
June, 2020 – Point Nine, a leading and innovative post-trade processing and regulatory reporting service provider has recently announced the…
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