Jean Hurley3 min read
GRIP2 min read
Jean Hurley4 min read
A guide to PRA’s final rules and policy on its approach to branch and subsidiary supervision.
Tom Callaby | CMS, Ben Maconick | CMS4 min read
Live sharing of data is expected to help firms identify suspicious URLs, transactions and other scam-related activity.
Hameed Shuja2 min read
How the attack unfolded and what steps can be taken to prevent similar incidents.
Harley Thomas | MKS Law6 min read
The failures included omissions to notify managers’ transactions on time, and not informing individuals about their regulatory obligations.
Martina Lindberg1 min read
The three individuals were fined a total amount of €18,000.
Martina Lindberg1 min read
Seung Earm considers historical transaction reporting fines to follow the FCA’s thinking on their current enforcement plans.
Seung Earm | Ibex Compliance4 min read
While the FCA has previously fined firms for transaction reporting failures, this marks the first enforcement action under MiFIR for such a breach.
Jean Hurley1 min read
The delays in transaction reporting ranged from two months to almost a year.
Martina Lindberg<1 min read