European Securities and Markets Authority On 26 March 2012, ESMA published a revision of its waiver document (ESMA/2011/241) which provides information on the pre-trade transparency of trading systems already set up in the European Union and informs on the compliance of such systems with MiFID, the Markets in Financial Instruments Directive.

Financial Services Authority On 23 March 2012, the FSA announced that contracts with the FSA for TRS transaction reporting will terminate on 23:59 on 24 April 2012.

Financial Services Authority On 23 March 2012, the FSA published finalised guidance on retail structured products (FG12/9) following its November 2011 guidance consultation on retail product development and governance (GC11/27).

Financial Services Authority On 23 March 2012, the FSA fined Coutts Company £8.75 million for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) systems and controls relating to high risk customers, including Politically Exposed Persons (PEPs).

77 FR 17328 CFTC Release 77 FR 11252 from Friday, February 24, 2012 is being partially republished due to numerous errors. Cross References: 77 FR 11252; 76 FR 7976; Rule 4.5; Rule 4.7; Rule 4.13; Rule 4.14; Rule 4.24; Rule 4.27; Rule 4.34; Dodd-Frank Sections 404 406; Lofchie's Guide to CPO/CTA Regulation: Chapters 3 4, Registration, Chapter 5, Reporting.