Transaction reporting
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FIN-FSA fines three individuals for late notification of managers’ transactions
The three individuals were fined a total amount of €18,000.
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First fine for transaction reporting failures under MiFIR sends clear message
Seung Earm considers historical transaction reporting fines to follow the FCA’s thinking on their current enforcement plans.
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Infinox Capital Ltd fined £99,200 in first MiFIR transaction reporting action
While the FCA has previously fined firms for transaction reporting failures, this marks the first enforcement action under MiFIR for such a breach.
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Finnish regulator fines three individuals for late notifications
The delays in transaction reporting ranged from two months to almost a year.
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ASIC roundup: Crypto fraud, and warning of scams
The Australian Securities & Investments Commission’s latest actions and news, October 21 – 25, 2024.
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Finnish companies fined for late notification of managers’ transaction
The three companies failed to notify the information within three days, some took almost a year.
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FCA Market Watch 74 highlights Transaction Reports
The latest edition of FCA Market Watch, number 74, covers Transaction Reports and market conduct issues.