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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 …

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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. …

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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 …

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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 …

Read more “New Guidance from Reg-X: Why Firms Must Be Ready for MiFID II RTS 24 and Article 16(6) and 16(7) Annex IV Record-Keeping Requests”

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 …

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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 …

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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 …

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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, …

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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 …

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