Kaizen Reporting
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Goldman/UBS fines sharpen MiFID reporting compliance
By David Braid
May 14, 2019, Practice Insight from IFLR
The pressure is now on banks’ transaction reporting teams following two high-profile fines being meted out by the UK Financial …
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Buy-side at risk of EMIR reporting fines
By Thomas Helm
May 7, 2019, Practice Insight from IFLR
A number of buy-side firms are not focusing on the European Market Infrastructure Regulation’s (EMIR) complex reporting requirements as much …
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Data reveals EMIR swaps report matching rates at 40%
By Samuel Wilkes
April 29, 2019, Risk
Only 40% of swaps trades reported under the European Market Infrastructure Regulation (EMIR) are correctly matched up at trade repositories, data from the …
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MiFID II: U.K. Firms Start Receiving FCA Letters
By Thomas Helm
March 14, 2019, Practice Insight from IFLR
A number of market participants have already received letters from the U.K. regulator’s Markets Reporting Team for transaction reporting failures.…
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MiFID II: Transaction Reporting Consensus Begins to Emerge
By Thomas Helm
February 27, 2019, Practice Insight from IFLR
While Mifid II’s trade and transaction reporting requirements remain problematic in many areas, some best practice consensuses have been emerging, …
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SFTR: Banks Anxious About Delegated Reporting
By Sharon Kimathi
January 31, 2019, Practice Insight from IFLR
Banks’ compliance teams are nervous about the delegated reporting requirements under the Securities Financing Transactions Regulation (SFTR). Rumours of large …
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RTS Extension Confusion Delays SFTR
By Sharon Kimathi
January 17, 2019, Practice Insight from IFLR
Compliance heads are dismissing Securities Financing Transactions Regulation (SFTR) teams after a misunderstanding over the extension period of the technical …
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MiFID II Reporting Issues Linger One Year On
By Louisa Chender
January 3, 2019, Global Investor Group
On the one year anniversary of the vast E.U. regulation which introduced a number of changes and challenges across the industry, …
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Commission Approving SFTR This Week
By Sharon Kimathi
December 13, 2018, Practice Insight from IFLR
The European Commission has confirmed that it will be approving the draft regulatory technical standards (RTS) for SFTR this week.…
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Post-Trade Transparency Is Problematic for SIs – Kaizen
By Louisa Chender
December 3, 2018, Global Investor Group
MiFID II post-trade transparency requirements are particularly challenging for systematic internalizers (SIs), an expert said.
Under MiFID II, SIs and other …
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