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New regulatory consequences could be personal nightmares
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02 Sep
2014

New regulatory consequences could be personal nightmares

JWG analysis. Following our review of the $260,000,000,000 total cost of regulatory transgressions, we now take a look at what the actual fines are and what the future holds? Firstly, according to the LSE’s review of 2009-2013 fines, is that 38% of fines are related to control failures like governance, internal controls, market abuse and Read More

27 Sep
2013

Interim issues: Pre-LEIs complicating regulatory implementation

Despite ESMA quietly delaying the timeline for Trade Reporting under EMIR to February 2014 (90 days + 5 after the predicted approval of the first Trade Repository in November), firms are now being faced with important decisions in how to implement the LEI. Discussion are required to address what regulations are there that require an Read More

09 Jul
2013

Here algo again: MiFID II will require your attention in 2014

  • 9th July 2013
  • RegTechFS

The new legislative package contains some surprises for those engaged in ‘risky’ trading MiFID II is almost upon us.  This month, the Council of the EU agreed their general approach, meaning that the draft of MiFID II/MiFIR is free to advance to the European Parliament.  If all goes according to the current plan, the new Read More