UK's FCA statement on share trading obligations
The UK's Financial Conduct Authority (FCA)
The EU MiFID II and onshored UK MiFID regimes both have share trading obligations (STOs) which mandate investment firms to trade certain shares on regulated markets, multilateral trading facilities, systematic internalisers or third-country trading venues assessed as equivalent by the EU and UK ...
UK's FCA fines UBS £28m for reporting failures relating to 136 million transaction reports
The UK's Financial Conduct Authority (FCA) has fined UBS AG £27.6m for failings relating to 135.8 million transaction reports between November 2007 and May 2017.
The regulator said UBS failed to ensure it provided 'complete and accurate information' regarding approximately 86.7 million reportable transactions.
Private equity – Australia's ASIC reports on corporate finance regulation – July to December 2018
The Australian Securities and Investments Commission (ASIC), has published its tenth report on the regulation of corporate finance issues. The latest report covers the period from July to December 2018 and provides an update on specific focus areas for the next six months.
Report 612 ASIC regulation of corporate finance ...
Notice from UK Financial Conduct Authority – African Land and Capital Carbon Credits schemes
Speech: Brexit and beyond – a UK regulatory perspective
Namibia's FIC recovers illicit funds