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    Regulatory Watch

    FCA Market Watch 69: On market abuse surveillance & conduct issues

    SteelEye    |    18 May 2022

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    Regulatory Scrutiny and Fines Ramp Up for Lax Employee Monitoring
    Regulatory Watch

    Regulatory scrutiny and fines ramp up for lax employee monitoring

    SteelEye    |    01 March 2022

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    Regulatory Watch

    Changes to MiFID II's Best Execution RTS27/28 Obligations

    Matt Storey    |    20 January 2022

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    Regulatory Watch

    Proposed SEC changes to Electronic Record Keeping Requirements

    SteelEye    |    24 November 2021

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA market watch 68 - Market conduct & transaction reporting issues

    Matt Storey    |    23 November 2021

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    ESMA publishes proposal for a review of the MiFID II Best Execution Reporting Regime
    Regulatory Watch

    ESMA publishes review on MiFID II best execution reports

    Matt Storey    |    05 October 2021

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    FCA Supervisory flexibility on RTS 27 reports
    Regulatory Watch

    FCA Supervisory flexibility on RTS 27 reports

    Matt Storey    |    22 March 2021

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA Market Watch 66 - Market conduct and transaction reporting issues

    Matt Storey    |    13 January 2021

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    Transaction Reporting during the festive period
    Regulatory Watch

    Transaction Reporting during the festive period

    SteelEye    |    22 December 2020

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA Statement on the Operation of the MiFID Markets regime post-Brexit

    Matt Storey    |    16 December 2020

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    FCA bans the sale of crypto-derivatives to retail consumers
    Regulatory Watch

    FCA bans the sale of crypto-derivatives to retail consumers

    Matt Storey    |    09 October 2020

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA Market Watch 65 - Market Abuse & MiFIR Transaction Reporting

    Matt Storey    |    07 September 2020

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA market watch newsletter 64 - Brexit transaction reporting issues

    Matt Storey    |    28 August 2020

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    COVID-19 Compliance Risks and Considerations for SEC-registered firms
    Regulatory Watch

    COVID-19 Compliance Risks and Considerations for SEC-registered firms

    Matt Storey    |    13 August 2020

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    IMAGE COPYRIGHT: FINANCIAL CONDUCT AUTHORITY
    Regulatory Watch

    FCA Market Watch 63 - Covid Related Market Conduct & Reporting Issues

    Matt Storey    |    28 May 2020

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