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Paid 1-Month, Part-Time Business Development Summer Internship

Business Development Internship

22 May 2024

A fantastic opportunity to gain real business development experience in a FinTech. By the end of this internship, you will have a firmer understanding of business development outreach and working in a FinTech/RegTech. This is a part-time role based in our Holborn office.

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TRAINING: In-Person MiFIR Training Led By Former FCA Regulator

Course overview and fee schedule

14 May 2024

Led by former-FCA regulator Sophia Fulugunya, Qomply’s CPD accredited MiFID II Transaction Reporting 101 Training provides participants with a strong understanding of the transaction reporting requirements for MiFID investment firms.

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Outline of the Proposed Changes to MiFID II Regulations

Sophia Fulugunay Discusses: MiFIR Proposal Will Affect FIRDs and Reportability

9 April 2024

ESMA formally announced significant revisions to the MiFIR reporting framework that will impact MIFID investment firms. This shake-up is a result of ESMA's recent MiFIR review.

Substantial changes to the financial instruments reference data reporting (FIRDs) framework are being proposed with ESMA assessing impact on firms and technology.

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EVENT: Qomply MiFID Workshop

Register for Qomply MiFID Workshop Event on MiFID - 24 April 2024

25 March 2024

Former FCA regulator, Sophia Fulugunya and Qomply's Michelle Zak discuss areas that are attracting regulatory attention, common MiFID pain points, industry conventions and how to successfully manage a remediation project.

This interactive session - covered by Chatham House rules - mifid-workshop/index.html participants to discuss their MiFID transaction reporting pain points in an intimate and collegial setting.

"Learn from peers" in a session that encourages the exchange of knowledge and practical approaches.

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INTERVIEW: Qomply Co-Founders on Recent Diversity & Inclusion Awards Wins

Interview with Qomply Co-Founders on Recent Diversity & Inclusion Awards

11 Mar 2024

Co-founders Michelle Zak and Stuart Hartley share their thoughts on Qomply's recent awards for Diversity and Inclusion including their latest award from Waters Technology for Best Company for Diversity and Inclusion 2024.

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EVENT: Kroll and Qomply Breakfast Briefing

Register for Kroll/Qomply Breakfast Breakfast Event on MiFID - 6 March 2024

14 Feb 2024

With the recent increase in regulatory activity around transaction reporting, Kroll and Qomply's Breakfast Briefing will discuss areas that are attracting regulatory attention and how to properly manage a remediation project.

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WEBINAR: MiFID Industry Conventions and Regulator Expectations

Best Practices and Implementation aligning with regulator's expectations

1 Feb 2024

In Qomply’s 30-minute webinar, we will delve into the industry conventions and the expectations of the regulator for MiFID transaction reporting. The benefits of having a robust systems & controls framework and practices around that framework will be discussed. Qomply's ReportAssure solution will be used to illustrate the implementation of best practices so that the audience benefits from the "theory" and the "application" of the principles discussed.

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Qomply's Director of Transaction Reporting Speaks to Asset Servicing Times

Sophia speaks to Asset Servicing Times about Mifid challenges

29 Jan 2024

Qomply's Director of Transaction Reporting, Sophia Fulugunya, speaks to Asset Servicing Times about data published by the Financial Conduct Authority (FCA) suggesting that 50 per cent of MiFID II investment firms are not fully compliant with the regulations.

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Qomply's Director of Transaction Reporting's Industry Predictions for 2024

3-6 Month Paid Internship Position

10 Jan 2024

We caught up with Qomply's newly appointed Director of Transaction Reporting, Sophia Fulugunya to find out how her first few months in the role have been and what her industry predictions are for 2024.

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Paid Off-Cycle Technical Internship Position at Qomply

3-6 Month Paid Internship Position

8 Jan 2024

Find yourself at the heart of the action

You’ll gain real experience working as part of a team in a real role. The Internship Programme offers a bespoke learning environment to develop your technical and soft skills. By the end of this internship, you will have a firmer understanding of software development, finance, and working in a FinTech/RegTech.

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Qomply Seeks Part-Time Marketing Executive

Part-Time Position Open For Individuals with Experience in Marketing

3 Jan 2024

A great opportunity for an experienced digital marketer to build on their existing skills in a dynamic, supportive company with seasoned professionals to mentor and develop your strengths.

This is a part-time role, predominantly based in our Holborn office.

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Qomply Director, Sophia Fulugunya featured In November's Asset Servicing Times Cover Story

Sophia Fulugunya featured In November's Asset Servicing Times Cover Story

30 Nov 2023

Qomply's Sophia Fulugunya features on the cover of November's Asset Servicing Times discussing how firms are struggling with MiFID II with research suggesting 50 per cent of firms are still not compliant. Sophia delves into some of the issues including late reporting, inaccurate data and under and over reporting and highlights the importance of regular reconciliations.

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Qomply Scoops Two Awards: Regulatory Reporting Solution & Trade Reconciliation Solution 2023

Regulatory Reporting Solution & Trade Reconciliation Solution 2023

29 Nov 2023

Qomply secured two remarkable recognitions-the Regulatory Reporting Solution of the Year & Trade Reconciliation Solution of the Year in the Global Investor Group FOW International Awards 2023.

Qomply continues to be recognised as a first-in-class solution for transaction reporting.

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King's College London Master's Graduate Joins Qomply

Autumn Technology Intern

22 Nov 2023

Bo Xu joined Qomply’s Intern Programme having recently graduated from King's College London with a Master's degree in Computational Finance. Discussing his reasoning behind choosing Qomply, Bo emphasises the importance of the new skills he's gained while working within the FinTech sector.

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Qomply Onboards Former FCA Regulator

Qomply Onboards Former FCA Regulator

31 Oct 2023

Qomply is delighted to announce the appointment of Sophia Fulugunya as Director of Transaction Reporting. Sophia brings a wealth of experience to her new role, having spent six years at the UK Financial Conduct Authority (FCA), where she specialised in MiFID II Transaction Reporting and Instrument Reference Data regimes.

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Qomply Hosts EMIR Refit Roundtable

Qomply Hosts ISDA and IA in EMIR Refit Roundtable

30 Oct 2023

Join Qomply’s Michelle Ricci Zak, Andrew Bayley from ISDA and Alex Chow from the Investment Association for a Breakfast Roundtable EMIR Refit discussion.

Both panellists, Alex Chow and Andrew Bayley, have led working groups for their respective trade bodies. They have a first-hand view of challenges and concerns across the industry as the race to GO-Live commences.

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Qomply Hosts MiFID Insights Breakfast Roundtable With a Former FCA Regulator

Register for Qomply Webinar - 31 Oct 2023

27 Oct 2023

Join us for an exclusive Qomply breakfast roundtable, where we're delighted to introduce Sophia Fulugunya, formerly with the UK Financial Conduct Authority (FCA) Markets Reporting Team. She brings an extensive experience on the front lines of transaction reporting, making her the perfect guide to navigate the complexities of MiFID reporting.

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WEBINAR: Unlocking Success in MiFID Transaction Reporting: Implementation of Best Practices Webinar

Register for Qomply Webinar - 31 Oct 2023

17 Oct 2023

A 30-minute webinar that delves into transaction reporting best practices in greater detail & demonstrates implementation using Qomply's free tools & technology. By integrating these practices and leveraging the Qomply platform, you'll be better prepared to meet the ever-evolving MiFID Transaction Reporting requirements.

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Business Analyst Position at Qomply

Qomply is Hiring for a Business Analyst Position

17 Oct 2023

We are pleased to offer an exceptional and exclusive opportunity for an EMIR/EMIR-REFIT Business Analyst or Regulatory Reporting Subject Matter Expert (SME) to join Qomply on a 6-month contract basis.

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Qomply & Kroll MiFIR Roundtable: Keeping on the Right Side of the Regulator

Register for Kroll/Qomply Breakfast Roundtable Event on MiFID - 19 Oct 2023

11 Oct 2023

Join Qomply’s Michelle Ricci Zak, Zach Johnson and Judy Leung from Kroll and Alex Chow from the Investment Association for a Breakfast Roundtable discussion on MiFIR Transaction Reporting: Keeping on the the Right Side of the Regulator at 8.30am on 19 October at the Shard.

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Imperial College Master's Graduate Joins Qomply

Autumn Intern joins Qomply

10 Oct 2023

Staša Đorojević joined Qomply’s Intern Programme having recently graduated from Imperial College Business School with a master's degree in management. Staša discusses why she chose Qomply for her internship, the new skills she has learnt and her opinion on the fintech industry.

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Qomply Director, Michelle Zak featured In September's Asset Servicing Times Cover Story

Qomply Co-Founder Discusses EMIR Refit and Regulatory Divergence

25 Sept 2023

Qomply's Michelle Zak features on the cover of September's edition of Asset Servicing Times discussing how the Qomply can help those tackling the EMIR Refit, amid skyrocketing operational and regulatory costs.

With constrained budgets, firms are seeking cost-savings across operations, regulatory reporting and oversight. Some firms are opting for a scalable approach towards outsourcing.

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Register for Qomply's Breakfast Roundtable Event on MiFID - 19 Sept 2023

Register for Qomply's Breakfast Roundtable Event on MiFID - 19 Sept 2023

1 Sept 2023

On 19 September 2023, Qomply will bring together industry experts to discuss MiFID transaction reporting and issues that continue to challenge firms.

Jake Green, Practice Group Co-Head, Global, Finance Regulatory at Ashurst Legal Firm, and Adam Soilleaux, Associate Director of Financial Services Advisory at BDO will join Michelle Zak, Co-Founder of Qomply, for an industry discussion.

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Qomply Named Best Regulatory Transaction Reporting Solution Provider 2023

Best Transaction Reporting Solution Provider

30 Aug 2023

Qomply scooped another award as it was named as the Best Regulatory Transaction Reporting Solution Provider by Wealth & Finance.

Qomply continues to be recognised as a first-in-class solution for transaction reporting.

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Qomply is delighted to welcome Jack McNish to the team

Summer Intern Joins Qomply as Fulltime Staff Member

30 Aug 2023

Master of Civil Engineering Graduate from Imperial College London, Jack McNish, joins the team as a Junior Developer. Jack started as a summer intern at Qomply in July and has recently joined the team permanately.

Jack shares insights gained during his internship and discusses how he plans to build on them in his new role.

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Mathematics Graduate from Imperial College London joins Qomply

Summer Intern from Imperial College London joins Qomply

25 July 2023

This summer Larry Wang joined Qomply’s Technology Internship Programme. With a Bachelor’s degree in Mathematics from Imperial College London, Larry discusses his coding background and his future career plans in coding and finance.

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Qomply Director Featured in March's Asset Servicing Times Story

Qomply Director Featured in June AST

3 July 2023

Qomply's Stuart Hartley features in the June issue of Asset Servicing Times discussing why system testing is an industry must, and how automatic regression testing can clear the pathway toward customer satisfaction and regulatory compliance.

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Digital Culture Undergraduate from King's College London joins Qomply

Summer Intern from King's College London joins Qomply

22 June 2023

Anishka Parashar joined Qomply’s Intern Programme while pursuing her Bachelors in Digital Culture from King’s College London. Anishka discusses why she chose Qomply, her favourite parts of the internship and the new skills she has learnt over the past few weeks.

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Machine Learning Graduate from Imperial College London joins Qomply

Technology Intern from Imperial College London joins Qomply

24 May 2023

He Li has joined Qomply’s Spring 2023 Technology Internship Programme after recently completing her Master’s Degree in Machine Learning and Big Data at Imperial College. He also possesses a Bachelor's Degree in Physics from Renmin University in China.

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Get EMIR Refit Ready with Qomply

Qomply's EMIR Refit Toolbox for Helping Firms with their GO LIVE Journey

3 May 2023

Keep up with changes to the EMIR reporting regime through Qomply's EMIR Refit Toolbox. Plug and Play Toolbox puts you on the front foot in ensuring the accuracy of your EMIR Refit Reports.

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Qomply Hosts the FCA in Breakfast Roundtable in May

Tom Soden from the FCA to speak at Qomply's Roundtable Event.

17 April 2023

On 11 May, 2023, Qomply will host our roundtable event bringing together Tom Soden, manager of the Markets Reporting Team (MRT) at the FCA, and Michelle Zak, Co-Founder of Qomply, for an industry discussion MiFID transaction reporting and the issues that continue to challenge firms.

Tom manages the Markets Reporting Team (MRT) at the FCA . This is the team that is responsible for monitoring the completeness and accuracy of transaction reports and for setting RTS22 and RTS23 policy requirements.

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Qomply Director Featured in March's Asset Servicing Times Story

Michelle Zak speaks about disrupting the industry by empowering firms

4 April 2023

Michelle Zak, co-founder and managing director at technology provider Qomply, speaks to Asset Servicing Times about how Qomply is disrupting the market by empowering firms to take control of their transaction reporting costs.

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Qomply Scoops Most Innovative Young Person’s Education Programme Award 2023

Qomply recognised for Internship Programme

28 March 2023

Award recognises Qomply's Internship Programme for providing young individuals with valuable, hands-on experience in working at a RegTech. Programme works to foster innovation and encourage entrepreneurialism whilst introducing students to the finance industry.

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Qomply Wins Award for Best Trade Reporting Solution

Qomply Wins Best Trade Reporting Solution 2023

1 March 2023

Award recognises Qomply's ReportAssure Solution which performs Quality Assurance, accuracy, timeliness and completeness checks for regulatory transaction reporting - instantly delivering one of the most comprehensive arsenals of accuracy checks in the industry.

Qomply’s accelerated growth has led it to be a recognised leader in delivering flexible, client-centric solutions that are attractive across the spectrum of small-to-large sized investment firms.

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Paid Summer Internship Position at Qomply - Marketing and BizDev

3-6 Month Paid Internship Position

16 Feb 2023

Find yourself at the heart of the action

A fantastic opportunity to gain real marketing and business development experience in an up-and-coming FinTech company in the heart of the City of London.

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Qomply Launches QomplyDirect

Qomply new solution disrupts market

31 January 2023

Disruptive, Game-Changing Technology: QomplyDirect removes extra ARM fees by offering the flexibility of sending reports directly to the FCA via a firm’s own infrastructure.

Changes the way the industry thinkgs about MiFID Transaction Reporting.

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Compliance Becoming More Costly

RegTech report highlights increase in cost of compliance for financial firms

5 December 2022

KPMG and Innovate Finance publish report illustrating the increasing cost of compliance amongst financial firms and the increase in adoption rates of RegTech solutions.

Qomply was invited to contribute to the report that highlights how solutions like Qomply are disrupting the market and helping financial firms comply.

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London Stock Exchange's Unavista and Qomply Announce Partnership

Qomply and LSEG

22 November 2022

The partnership enables Qomply and UnaVista to offer easier integration of trading platforms with regulatory reporting systems, delivering more efficient compliance for their clients.

Bringing together the best-in-class capabilities of both firms, financial services firms across the UK and Europe can fulfill their regulatory reporting obligations more simply and efficiently.

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Qomply's Regulatory Conference Round-up of Topics - Link to Recording for Session 2

Link to Session 2 Transaction Reporting Pain Points

19 October 2022

Speakers from the FCA, the Investment Association, Kroll, KPMG and Tradeweb were joined by delegates across the finance industry including representatives from asset and wealth management firms, investment banks, trading venues, brokerages, and regulatory consultancies. Those who couldn’t attend in person joined the sessions via a live webinar stream.

Download Recording for Session 2 - Transaction Reporting Pain Points.

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Qomply's Regulatory Conference Scheduled for October 2022

Qomply Regulatory Conference schedule for October 2022

31 August 2022

Qomply announces its inaugural Regulatory Conference 2022 to be hosted in the beautiful, grade-II listed One Moorgate Place, City of London, the home of Chartered Accountants' Hall on 6th October 2022.

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FCA Proposed Changes Aligns UK with Global Standards

Qomply intern interviews Alexander McDonald, CEO of EVIA

03 August 2022

Regulator may have been "attempting to make the UK market fit into a wholesale cross-border regime" says Head of the Financial Trade Body EVIA, in response to the recent Consultation Paper from the FCA.

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Undergraduate Engineer at the University of Cambridge joins Qomply

Managing Director Michelle Zak interviews summer intern Arunabh Bagchi

26 July 2022

Yann Divet is a first-year engineering student at the University of Cambridge who recently joined Qomply’s Summer Intern Programme. Yann discusses what it’s like to work for a FinTech/RegTech, his passion for coding, and how he fits time in for swimming.

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Undergraduate Physicist at Imperial College London joins Qomply

Managing Director Michelle Zak interviews summer intern Arunabh Bagchi

12 July 2022

Arunabh Bagchi is a first-year theoretical physicist at Imperial College London. Arunabh has a keen interest in finance and wishes to pursue a career in trading - with a specific emphasis on using mathematical models to predict trends in the markets.

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Qomply Director Featured As This Month's Asset Servicing Times Cover Story

Michelle Zak analyses the need for the industry to increase the introduction of systemic risk controls

28 June 2022

Michelle Zak, co-founder and managing director at technology provider Qomply, analyses the collapse of US firm Archegos Capital Management, and how its US$10 billion loss in 2021 highlighted the need for the industry to increase the introduction of systemic risk controls.

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Qomply Named Most Innovative Regulatory Solution 2022

Qomply Offers Game Changing Technology

18 May 2022

Qomply's recent recognition for innovation can be traced to its "Healthcheck" technology that instantly highlights problematic areas in the accuracy of a firm's transaction reporting. Immediate and accurate results that highlight potential issues lurking in MIFD/EMIR reports recognised as an industry game-changer.

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Insight Programme for First or Second Year Students

Qomply Insight Programme 2022

9 May 2022

Find yourself at the heart of the action

You’ll gain real experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

Technical skills in Python will be required for this role as it places an emphasis on technology.

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Sales/Business Development Role at Qomply

Qomply Offers Flexible Role for Top Talent

3 May 2022

Qomply continues its expansion and offers flexible role aimed at attracting top sales talent in capital markets.

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Qomply Announces Rebrand

Qomply Brand Echos Forensic-level Checks

21 April 2022

New brand identity with fresh new logo and colours symbolic of the level of forensic detail dedicated to transaction report accuracy.

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Qomply Founder Michelle Zak Awarded Startup Professional of the Year

Michelle Zak from Qomply named Professional of the Year

9 March 2022

The Qomply team is delighted to announce that our Managing Director and Co-founder, Michelle Zak has been awarded ‘Startup Professional of the Year’ at the Women in Technology and Data Awards 2022, hosted by Waters Technology.

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Former Trinity Mirror Head of Marketing Joins Qomply

Charlotte Valinotti Joins Qomply

9 February 2022

Qomply has announced Charlotte Valinotti, a former Head of Marketing at Trinity Mirror (now Reach Plc), as the latest high-profile appointment to the Qomply team.

Charlotte spent over 8 years at Trinity Mirror leading marketing at recognised divisions such as Digital Recruitment and Fish4jobs. Before Trinity Mirror, Charlotte held senior marketing positions across various firms as she delivered marketing solutions for recognised clients such as Microsoft, IBM and BT

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Banner Year for Qomply as it Won 3 Prestigious Industry Awards in 2021

Qomply validates its position as a leader in Regulatory Reporting

5 January 2021

Qomply has gone from strength-to-strength, with these awards serving as testimony to the robustness and relevancy of the Qomply platform in the market.

The Qomply platform continues to attract recognition from industry bodies as it offers one of the most comprehensive arsenals of Quality Assurance and accuracy checks in the industry.

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Third Financial Selects Qomply for Strategic MiFID Transaction Reporting Accuracy

Third Financial Selects Qomply for MiFIR Transaction Accuracy Checks

30 Nov 2021

Third Financial has selected Qomply, a leading transaction reporting technology firm, to provide integrated end-to-end MiFID Transaction Reporting accuracy checks within its FCA-regulated Investment Platform provider, Third Platform Services.

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Qomply Named Compliance System of the Year for 2021

Global Investor Investment Excellance Award 2021

15 October 2021

Qomply has been recognised as the Compliance System of the Year by the Global Investor Group Investment Excellence Awards 2021.

The award reflects Qomply's advanced rules engine and technology that simplifies accurate MiFIR, EMIR, and SFTR reporting.

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Qomply and Euronext Announce Partnership

Euronext and Qomply

21 Sept 2021

With MiFID implementation costing the industry over €2.5bn, firms are now seeking more cost-effective solutions as regulations mature.

By linking services, Qomply and Euronext provide clients with a straightforward solution without the high cost and complications of integrating separate solutions.

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Qomply Beefs Up Advisory Team with Appointment of David Peniket

David Peniket Joins Qomply

7 September 2021

Qomply announces David Peniket, former President of ICE Futures, Europe, as the latest appointment to its high-profile advisory team.

David helped spearhead the growth of Intercontinental Exchange (ICE) in Europe through an 18-year tenure at ICE Futures Europe. David led the ICE team which helped create the European Climate Exchange, and participated in a number of asset purchases, notably the creation of the Dutch exchange ICE Endex and the acquisition and integration of NYSE Euronext. Before joining ICE, David was a financial management consultant at KPMG.

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Qomply Partners with REGIS-TR, European Trade Repository, As It Expands European Services

REGIS-TR and Qomply

15 July 2021

This partnership will further support market participants in meeting their reporting obligations across Europe and in major European regulations

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Qomply Scoops British Bank Award 2021

Qomply takes another award in 2021

12 July 2021

Known as the Oscars for the banking industry, the British Bank Award for a regulatory firm went to Qomply for 2021.

Judged by their peers from across the market, Qomply was acknowledged for offering excellence in regulatory technology.

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Qomply Wins Prestigious Sell-Side Technology Award for Its Transaction Reporting Platform

Prestigious Sell-Side Technology Award

13 April 2021

Qomply is the winner of the prestigious “Best Sell-Side Newcomer” award from Waters Technology, one of the most respected accolades in the financial sector.

The Sell-Side Technology awards recognise the leading technologies and third-party vendors in their area of expertise, through an auditable and transparent methodology developed and managed by independent judges.

Qomply won the award for its innovative cloud-based platform that performs comprehensive diagnostics across every field of every trade contained in a transaction report for MiFID. Qomply implements methodologies used in electronic trading so as to ensure accurate and reliable results.

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Qomply Welcomes Peter Green to Advisory Committee

Qomply Advisory Committee

31 March 2021

Peter brings more than 30 years of financial expertise and market insights, further strengthening Qomply in expanding its ambitions and building its momenteum. Peter will contribute strategic guidance, commercial insights, and operational expertise.

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Paid Graduate Position Available at Qomply

3-6 Month Paid Graduate Position

22 March 2021

The Graduate Insight Programme is suitable for third-year university students, or recent graduates, with a thrist for knowledge and an entrepreneurial spirit.

Candidates gain experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

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Qomply and Bovill Announce Strategic Partnership

Qomply and Bovill Partnership

3 February 2021

Qomply, a leading transaction reporting RegTech firm, and Bovill, a global financial services regulatory consultancy, have announced a new partnership that will deliver a complete end-to-end transaction reporting service for financial institutions.

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Qomply Launches Free MiFID Service

FIRDs Lookup Service for MiFID Reportability

19 January 2021

As of 1 January 2021, the FCA started operating its own FIRDS database, a “golden source” of reference data for which 7 billion transactions depend. This places the FCA squarely in the spotlight as the integrity of data in the FCA FIRDS database is now instrumental in the regulatory obligations it had a hand in setting forward.

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Qomply Announces Spring 2-week Insight Programme for First or Second Year Students

Two-week programme for students

18 January 2021

You’ll gain real experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

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FCA Breaks from EU in Operating Data Repository that Underpins Key Regulation

FCA starts its own FIRDS database post-brexit

20 January 2021

As of 1 January 2021, the FCA started operating its own FIRDS database, a “golden source” of reference data for which 7 billion transactions depend. This places the FCA squarely in the spotlight as the integrity of data in the FCA FIRDS database is now instrumental in the regulatory obligations it had a hand in setting forward.

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FCA and ESMA to Launch Changes on 1st January 2021

FCA and ESMA launch changes to FIRDS

10 December 2020

Changes to databases, service outages, and file size changes could impact firms if caught unaware. The FCA plans on doubling the amount of records made available in nightly files which could mean firms need to make available addition processing power to manage new file sizes.

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Qomply Shortlisted for Best Trade Reporting Solution

Qomply shortlisted for award

3 December 2020

We are pleased to announce that Qomply has been shortlisted for the “TradingTech Insight Award” in the Trade Reporting Solutions category.

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Investment Firms Start to Awaken to Little Known MiFID Regulation

Qomply Diagnostic

25 June 2020

Strong likelihood that your firm is not complying with the MiFID II requirement for periodic reconciliation of transaction reports sent to the FCA.

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Shutting Down of CME’s Regulatory Reporting Leaves Firms Scrambling to Fill Gap

Abide shuts down

19 May 2020

In a sign of things to come, CME’s announcement potentially foretells a story of unprofitability in a market where FinTech’s are encroaching and ROI eroding.

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FCA "hints" at Potential Enforcement in Key Areas: Part 1

MiFID enforcement

15 April 2020

FCA fires shot across the bow in their Market Watch publications. Firms must tighten weakness in reporting as enforcement looms

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FCA "hints" at Potential Enforcement in Key Areas: Part 2

Key Areas for MiFID

9 April 2020

FCA fires shot across the bow in their Market Watch publications. Firms must tighten weakness in reporting as enforcement looms

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Post-Brexit: 3rd Country Rules Impact UK Firms

Third Country Rules

26 March 2020

Post-Brexit may leave UK and EU viewing each other as a 3rd country. In which case, 3rd Country reporting requirements kick-in imposing requirements for more data in transaction reporting and data retainment of sensitive trader data.

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