Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
Goldman Sachs settles with a U.K. regulator over 220 million erroneous transaction reports filed over nearly a decade.
A U.K. regulator, the Financial Conduct Authority (FCA), has settled a Markets in Financial Instruments Directive (MiFID) case against Goldman Sachs International (GSI), and has fined the firm £34,344,700 ($44,815,175) for 220-plus million erroneous transaction reports between November 2007 and March 2017. The FCA explains that its rules on transaction reporting emanate from the E.U.’s...
Already a subscriber? Login here
