position limits Tag

“A few days ago, the Securities and Futures Commission (SFC) in Hong Kong issued a consultation paper on proposed changes…

On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…

The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…

First Intraday Compliance Capability for Order Building in Market NEW YORK, June 29, 2021 – Compliance Solutions Strategies (“CSS”), a…

A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…

Commodity derivative investors: More big changes on the horizon for position limits in Europe. As we anticipated, we know the…

ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…

As yet another deadline approaches for the United Kingdom to either leave the European Union with a withdrawal agreement in…

In recent months, we have begun to offer roundtable events focusing on important, evolving topics within the compliance world.

On the heels of several European events focused on shareholder and position limit monitoring, we shifted to Miami, Florida and the Ascendant Compliance Solutions Strategies 2019 Spring Conference for another engaging session on the subject.

Fresh from our London conference “Looking at the Year Ahead – Global Compliance and Data Priorities” – a rousing success! – we’ll cover takeaways from a key panel discussion on shareholder monitoring and disclosures.