Financial Conduct Authority (FCA)
PRA’s Bailey Appointed as New FCA Chief Executive
Prudential Regulatory Authority’s Andrew Bailey steps up to take UK regulatory hot seat starting in July.
ETAS Panel: Don't Assume Delays on MiFID 2
Users should still plan to be compliant by the originally scheduled dates, panelists warned.
Algo Testing a Major Concern Under MiFID II, ETAS Panelists Say
Clarity of definitions and testing environments are still major hurdles for firms' MiFID II readiness, panelists say.
Algo Testing a Major Concern Under MiFID II, ETAS Panelists Say
Clarity of definitions and testing environments are still major hurdles for firms' MiFID II readiness, panelists say.
UK Authorities Adding LEI Capability For Filings
In November, funds may be identified to UK regulators using legal entity identifier
Broker Commissions: The Great Unbundling Bungle
Handling sell-side research and commissions has typically been a mundane and relatively simple function for investment managers. But regulatory authorities in Europe are about to turn the process upside down with a little-known but potentially impactful…
Bloomberg Multilateral Trading Facility Launches Following FCA Approval
Bloomberg Trading Facility receives UK Financial Conduct Authority to trade interest rate swaps and credit default swaps.
ESMA's High Hopes for Centralized Reporting
Delegated task is 'a milestone for a new system of financial supervision'
BoA Merrill Lynch Handed £13.2 Million Transaction Reporting Fine
Record fine handed down by UK regulator FCA for incorrect reporting of 35 million trades.
Eze Software Unveils Tool to Help Buy Side Evaluate Brokers
Broker Review was released after Eze acquired Broker Select & Recap last year.
Trading Technologies to Offer GMEX Exchange Access
TT customers to have access to exchange following Q2 2105 launch.
The Cherry (Picking) on Top
The FCA's latest fine blows the mind ... just a little.
Aviva Investors Fined £17.6m by FCA Over Risk Management Failings
Asset management business also pays out £132m to eight funds in compensation.
Regulation: The Driving Force Behind a Financial Overhaul
Factset's King argues that research management systems can provide audit trails for regulatory compliance.
Major Banks Fined Billions for FX Market Abuse
Tier-one firms collectively penalized in joint regulatory action.
Nobody Reads These Things Anyway, Right?
Deutsche's FCA penalty leads this week's coverage.
FCA Fines Deutsche Bank for Extensive Reporting Errors
The UK Financial Conduct Authority (FCA) has levied a fine of £4.7 million (approximately $7.8 million) on Deutsche Bank for submitting nearly 30 million incorrect trading reports over a number of years.
Midnight in the Rue Jules Verne
FCA chief’s remarks and the UK’s moves to regulate FX lead this week’s coverage.
UK Chancellor Promises FX Market Review, Benchmark Oversight
George Osborne MP, the UK Chancellor of the Exchequer, has instigated a wholesale review of how foreign-exchange (FX) markets in the UK are regulated, along with widening the scope of which benchmarks are covered by new legislation on market abuse.
Citisoft launches Outsourcing Termination Service
Citisoft, the London-based buy-side technology and management consultancy, has launched an exit strategy and planning service to help asset managers mitigate the risks of a forced or voluntary exit from an outsourcing agreement.
FCA Chief Highlights Struggle against “Dystopian” Tech Scenario
Martin Wheatley, chief executive of the UK Financial Conduct Authority (FCA), has said that the role of regulators in the modern world is to strike a balance between realizing the benefits of market technology, while not allowing it to run amok.
Euronext UK Markets Gains RIE Status
The London-based venue in the Euronext group, Euronext UK Markets, has been granted Recognized Investment Exchange (RIE) status by the UK Financial Conduct Authority (FCA), ahead of the group being spun out by parent company IntercontinentalExchange (ICE…
FCA Expresses Concern over System Readiness for EMIR Compliance
While market participants continue to struggle with requirements of the European Market Infrastructure Regulation (EMIR), some relief has come from the UK Financial Conduct Authority (FCA). With that, though, is also a warning shot about having systems…
Compliancy Services Selects Lombard Risk for EBA Common Reporting
Compliancy Services, the regulatory compliance consultancy, has selected Lombard Risk Management’s cloud-based version of Reporter to enhance its regulatory returns submission services.