Transaction Reporting: Expectations vs. Reality

May 29, 2019
ACA Compliance (Europe)
Bobby Johal, Charlotte Longman, Matthew Chapman

Transaction reporting has been back in the news again with the largest fines levied by the FCA for failures under the MiFID I regime. The regulator is now turning its attention to related MiFID II shortcomings, as evidenced in the recent Market Watch and clearly losing patience with reports which are ‘valid but wrong’. Firms are running out of time to review their reporting frameworks and make any necessary fixes to make sure they save themselves from the cost and reputational risk of future scrutiny and potential enforcement.

Join us on Wednesday 29th May at 11:00am BST for a complimentary webcast: Transaction Reporting: Expectations vs. Reality.

Discussion Topics:

    • What do the recent fines indicate about recurring issues and pitfalls?
    • What the FCA says you are getting wrong?
    • Why firms reporting, and monitoring may not always be hitting the mark?
    • How and where can improvements be made?