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The UK’s Financial Conduct Authority (FCA) has announced plans to significantly reform the regulatory framework for UK-based investment managers. The initiative, part of a broader drive to enhance the UK’s global competitiveness, aims to streamline regulatory obligations, reduce compliance burdens, and foster growth across the asset management sector. In this blog, we explore what these …
Read more “FCA Proposes Major Reform for UK Investment Managers: What It Means for the Industry”
The European Union Agency for the Cooperation of Energy Regulators (ACER) has issued updated guidance on the Regulation on Wholesale Energy Market Integrity and Transparency (REMIT). These updates, presented in the latest Questions and Answers (Q&As) document, provide further clarification on transaction reporting, market surveillance expectations, and the interplay between REMIT and other financial regulations. …
Read more “4 ACER Updates REMIT Q&As: What Market Participants Need to Know”
EMIR Refit Regulatory reporting has always been a key compliance requirement for asset managers. However, with evolving obligations and the increasing complexity of EMIR Refit, ensuring accuracy, completeness, and effective Exception & Omission (EnO) analytics is no longer optional – it’s essential. Stricter compliance standards demand a proactive approach to reporting, minimising errors, and avoiding …
Introduction In today’s highly regulated financial environment, the need for accurate, complete, timely, reliable, and readily accessible records has never been more critical. Increasingly, financial firms are receiving formal requests from regulators regarding MiFID II Directive (Directive 2014/65/EU) RTS 24 (Venue obligation) and Article 16(6) and 16(7) (investment firm obligation) data submissions. These regulatory inquiries …
CFTC’s New Compliance Expectations: The Commodity Futures Trading Commission (CFTC) has introduced new guidelines on self-reporting, cooperation, and remediation, setting clear expectations for how firms should handle trade and transaction reporting. For firms operating in the derivatives market, this is a wake-up call. The CFTC’s Mitigation Credit Matrix now directly links penalty reductions to a …
Under MiFID II, financial firms are required to maintain accurate and complete records to comply with regulatory obligations. However, many firms struggle with slow response times and poor data quality when providing information to regulators—sometimes taking more than six months to respond to a request. With increasing regulatory scrutiny, firms must ensure their order and …
Read more “MiFID II Record Keeping: Ensuring Compliance with Speed & Accuracy”
In January 2025, the UK’s Financial Conduct Authority (FCA) issued its first fine for transaction reporting failures under MiFIR (Markets in Financial Instruments Regulation). The case involved Infinox Capital Limited, which failed to submit a significant number of transaction reports between October 2022 and March 2023. This major compliance breach highlights the critical need for …
The end-of-year festive season presents unique challenges for trade and transaction reporting. As businesses wrap up their annual operations and technology releases are paused or frozen, ensuring compliance amidst reduced staffing and increased reporting workloads becomes critical. Here’s an overview of the hurdles firms face during this period and how to address them effectively. Key …
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The FCA’s Market Watch 81 newsletter is essential reading for compliance and regulatory reporting professionals, providing in-depth insights into current regulatory expectations for the UK’s financial services sector. This edition addresses the growing need for robust change management, accurate reporting frameworks, solid data governance, effective control structures, and strong governance oversight. As the regulatory landscape …
Read more “Market Watch 81: Key FCA Insights and Implications for Financial Compliance”
With the end of Daylight-Saving Time, UK financial firms face a shift in timekeeping that could affect regulatory reporting compliance. Regulatory frameworks like MiFID II, EMIR, and SFTR impose stringent timestamp and sequence requirements on trade and transaction reporting, meaning that one-hour difference will create challenges in accuracy, completeness, and cross-border consistency. For reporting organisations, …
Read more “The Impact of Daylight-Saving Time Ending on Regulatory Reporting in the UK”