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Reporting Requirements › Investment Firms › MiFID II

A&O Shearman

ESMA final report on systematic internaliser ITS, volume cap and transparency calculations and trading venue RTS

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The European Securities and Markets Authority (ESMA) has published a final report in relation to certain changes being made as a result of the MiFID II/MiFIR review, together with an accompanying press release. The changes...more

Cadwalader, Wickersham & Taft LLP

Amid Chaos, Regulatory Change Continues Apace, March 2025 - Lessons From the FCA’s Fine of Infinox Capital

Cadwalader, Wickersham & Taft LLP on

The FCA has fined Infinox Capital, a London-based broker, for breach of MiFIR transaction reporting requirements. Infinox failed to submit reports for some 46,053 transactions executed by its single-stock CFD (contract for...more

Proskauer Rose LLP

FCA publishes its Second Consultation on the Implementation of the UK Investment Firms Prudential Regime

Proskauer Rose LLP on

On 19 April 2021, the Financial Conduct Authority (“FCA”) published the second out of three consultation papers on the implementation of the Investment Firms Prudential Regime (“IFPR”) (CP21/7). The IFPR is a new UK...more

A&O Shearman

EU Evaluates MiFID II's Success in Improving Trade Data Quality, Availability and Costs

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on the development of pre- and post-trade transparency data and the functioning of the consolidated tape for equity instruments under the revised...more

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