Nick Bayley Featured in Financial News Discussing Transaction Reporting Tue, Apr 2, 2019

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Nick Bayley, Managing Director in Duff & Phelps’ Compliance and Regulatory Consulting practice, has been quoted in Financial News following recent enforcement actions by the Financial Conduct Authority (FCA) against two major investment banks for transaction reporting failures.

“Transaction reporting remains a key area of enforcement focus for the FCA but we shouldn’t hold our breath when waiting for similar cases under MiFID II to come out. Transaction reporting is complex and difficult to get right and the regulator’s expectations are high. In our experience, very few firms are actually getting their MiFID II reporting completely right and many are struggling with the added complexity that MiFID II has brought,” Nick said. 

Read the full article here.

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