Another large transaction reporting fine – £34.3M

The UK’s Financial Conduct Authority (FCA) has fined Goldman Sachs £34,344,700 for transaction reporting failures under MiFID I between 5 November 2007 and 31 March 2015. The issues cover 229.2 million transactions divided into: Missing reports Incorrect reports Reports that were out of scope (which is prohibited under MiFID) The penalty notice can be found … Continue reading → Source: Energy Trading Regulation – Another large transaction reporting fine – £34.3M

Continue reading Another large transaction reporting fine – £34.3M. This article appeared first on CTRM Center.

Source: CTRM Center

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