Financial Transaction Tax

Proposed Directive could have significant implications for EU financial institutions and those transacting with them

Prompt Response

FSA impose large penalty on firm for inadequate arrangements to protect client assets

CMAR & CF10a

CASS oversight function and reporting requirement in place since 1 October

Large Traders

New SEC rule for Large Traders of US exchange-listed securities

Mercurius

Multiple failings led to prohibitions and fines for CEO and Compliance Officer

PFOF

Consultative Guidance on Payment for Order Flow