Seung Earm | Ibex Compliance
-
First fine for transaction reporting failures under MiFIR sends clear message
Seung Earm considers historical transaction reporting fines to follow the FCA’s thinking on their current enforcement plans.
-
Learning the lessons of the Citi ‘fat finger’ trading case
The Citi case highlighted compliance deficiencies compounded by human error. Here are some practical tips to avoid making the same mistakes.