UBS fined £27.6m for transaction reporting failures

The UK’s Financial Conduct Authority has fined UBS AG 27.6 million pounds sterling for transaction reporting infringements under MiFID I. The penalty notice can be found here. The fine relates to issues with  135.8 million transaction reports between November 2007 and May 2017. These can be divided into: Missing reports Incorrect reports Reports that were … Continue reading → Source: Energy Trading Regulation – UBS fined £27.6m for transaction reporting failures

Continue reading UBS fined £27.6m for transaction reporting failures. This article appeared first on CTRM Center.

Source: CTRM Center

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