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Navigating Trade Transaction Reporting During the Festive Season

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 …

Market Watch 81: Key FCA Insights and Implications for Financial Compliance

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 …

Regulatory Reporting and Compliance Management. Trade and Transaction Reporting

The Hidden Costs of Non-Compliance: Unseen Impacts on Brand and Operations

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 …