With reference to Regulatory Roundup 36 concerning the final rules to implement CRD 3, a reminder that the Pillar 3 disclosure obligations in BIPRU 11 are to be enhanced with […] [...]

As will be known (see Regulatory Roundup 33) the FSA’s Transaction Reporting System (TRS) was to be sold to the LSE. The latter already operates its own equivalent system (UnaVista). […] [...]

As advised in Regulatory Roundup 28, the FSA is in the process of reviewing the Transaction Reporting User Pack (TRUP), which is a useful source of reference for those firms […] [...]

Regulatory Roundup 34 included an article on the FSA’s consultative guidance on (a) the approach to be adopted when reporting transactions on Turquoise Derivatives and (b) the reporting of derivative […] [...]

A reminder for firms that transaction report that the Zen ‘hard go-live’ date is 13 November at the latest. The FSA’s surveillance and monitoring system, Sabre, is being replaced by […] [...]

Whilst on the topic of client money a reminder that from 1 October all CASS medium and large firms have had to have an individual approved for the CASS oversight […] [...]

Market Watch 40 (MW40), dedicated to transaction reporting issues, was published earlier this month, followed a few days later by FSA consultative guidance, which features two articles in MW40. Back […] [...]

From 19 September up to seven ‘new’ types of reports will be scheduled on GABRIEL. The reports on GABRIEL will actually be ‘Non-GABRIEL Paper’ (NGP) reports. Although at first sight […] [...]

Firms that currently use the FSA’s Transaction Reporting System (TRS) to meet their SUP 17 obligations may be aware that the Regulator is planning to withdraw from this service. The […] [...]

A couple of complaints against the FSA act as a useful reminder that the onus for submission to, and receipt by, the FSA of returns, notifications etc. lies with the […] [...]

The FSA has issued consultative guidance on the reporting of on-exchange derivatives that are conducted through exchange platforms. Current guidance depends upon the fungibility of the instrument and in certain […] [...]

The FSA has published Market Watch 39 (MW39) which contains confirmation that Zen, which will replace the existing Sabre system used by the FSA for market transaction analysis, will go […] [...]

As mentioned in Regulatory Roundup 24, in addition to the annual standing data check required under SUP16.10.4 the FSA will require advance notice of any change in the telephone number […] [...]

As mentioned in Regulatory Roundup 22 the FSA introduced a new data item – FSA055 – which was to be completed by non-ILAS BIPRU firms (basically BIPRU limited licence/activity firms […] [...]