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Client: A Prominent Broker based in London Industry: Financial Services Challenge: Data accuracy, incomplete transaction data, UPI and UTI generation methodology Overview At Reg-X Innovations, we specialise in helping clients navigate the complexities of regulatory compliance with ease. One of our clients, a prominent broker based in London, was facing significant challenges with data accuracy …
In the fast-paced world of financial services, regulatory compliance is a non-negotiable aspect of doing business. Regulatory bodies such as the Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), and the Australian Securities and Investments Commission (ASIC) have introduced stringent guidelines that require firms to adhere to strict reporting obligations. While these regulatory …
Read more “The Hidden Costs of Non-Compliance: Unseen Impacts on Brand and Operations”
Big Achievement for Reg-X!🎉 We’re thrilled to announce that Reg-X Innovations has been named a Category Leader by Chartis Research in their Regulatory Reporting Vendor Landscape Report! 🏆 This recognition highlights our standout capabilities in regulatory reporting, control and oversight, back reporting, and more. About Chartis Research: A top research firm in the global risk …
Introduction: In the realm of financial regulations, EMIR REFIT (European Market Infrastructure Regulation-Regulatory Fitness and Performance Programme), plays a vital role in improving transparency and stability within the derivatives market. One crucial aspect of complying with EMIR REFIT requirements is the conversion of data between XML (eXtensible Markup Language), and CSV (Comma-Separated Values) formats. In …
In the constantly evolving world of financial regulations, regulatory reporting has become more critical than ever. As the financial landscape adapts to new regulations, firms must also ensure that their reporting platform and operating model remain robust, efficient, and up to date. One of the most significant developments is the EMIR Refit, particularly with the …
Introduction In the dynamic world of financial regulations, the Unique Product Identifier (UPI) has become a crucial component, especially with the implementation of the European Market Infrastructure Regulation (EMIR) Refit in the UK. As businesses adapt to these regulatory changes, understanding the importance of UPI is vital. This blog explores what UPI is, why it’s …
Is your business ready for the latest UK EMIR Refit? Ensure compliance with a comprehensive EMIR (current) Health Check from Reg-X. Our expert consultants will review your EMIR reporting processes, not repeat the current EMIR issues in Refit, identify gaps, and help you stay ahead of regulatory changes. Reg-X provides comprehensive guidance on updated EMIR …
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As the financial markets grow increasingly global, regulatory compliance continues to be a critical concern for financial service companies worldwide. With the introduction of EMIR Refit, many are pondering: Is it necessary to update regulatory reporting to Refit standards if your operations are based outside the European Union and your branch is trading derivatives in …
Read more “Do you need to upgrade to EMIR Refit if you have a branch in the EU or UK?”
As the UK financial landscape evolves, adherence to regulatory frameworks is crucial for maintaining market integrity. One of the most significant regulations impacting financial institutions today is the EMIR Refit (European Market Infrastructure Regulation). Understanding the risks associated with non-compliance with EMIR Refit is essential for firms looking to safeguard their operations and reputation. What …
The Central Bank of Ireland (CBI) has reprimanded and fined an investment fund for failing to report derivatives trades to a trade repository in breach of its reporting obligation under the European Markets Infrastructure Regulation (EMIR). The fine was imposed on November 30, 2023, and is the first time the CBI has fined an investment …
Read more “CBI Fines Global Reach, Highlighting Key Lessons for EMIR Compliance”
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