Monthly Archives: October 2017

U.K. – FCA Merrill Lynch EMIR Fine

On 23 October, FCA issued £35mn fine to Merrill Lynch for EMIR failings. Fined Merrill Lynch International £34,524,000 for breach of Principle 3, Art 9 EMIR. MLI agreed to settle at an early stage and qualified for the 30% Stage 1 discount. Without the discount, FCA would have imposed a financial penalty of £49,320,000. MLI…
Read more

Solutions Atlantic Exhibiting at NSCP

From 16 October to 18 October, the National Society of Compliance Professionals' Annual Meeting will take place in Washington, D.C. Solutions Atlantic has been an exhibitor at this yearly event for several years. The NSCP Annual Meeting, continues to be the conference of necessity for most compliance professionals in the financial services industry. Regardless of…
Read more