FCA hands out second large fine in as many weeks for transaction reporting failures

Retrieved on: 2019-04-09 19:15:00

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Money

Finance

Financial regulation

Systemic risk

European Union

Markets in Financial Instruments Directive

Independence Wealth Management

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FCA hands out second large fine in as many weeks for transaction reporting failures. View article details on HISWAI:

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<div>Both fines result from breaches of obligations imposed by <b>MiFID</b> (the Markets in Financial Instruments Directive (2004/39/EC), as well as a breach of ...</div>

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