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 […] [...]

A fairly short edition of Market Watch concentrates on transaction reporting issues. MiFID investment firms are reminded that they need to have a BIC-see Regulatory Roundups 17 & 11 for […] [...]

As you will be aware from Regulatory Roundup 21 the FSA has had concerns about the quality of some auditors’ client assets reports-see FSA Consultation Paper CP10/20 “Improving the auditor’s […] [...]

The FSA has published amended guidance for the completion of certain FSA data forms. It is all of a fairly minor nature e.g. the guidance to the completion of FSA002 […] [...]

Some BIPRU firms have been experiencing problems in the completion of their FSA003 data return (capital adequacy). The FSA003 now contains lines 142 and 143 in relation to capital planning […] [...]

Regulatory Roundup 23 contained an article on changes to CASS and the need for affected firms to complete a Client Money and Asset Return (CMAR). The FSA has released CP11/4 […] [...]

A firm is required, on an annual basis, to check the accuracy of its standing data (defined in the attached link) on the FSA website within 30 business days of […] [...]

The FSA has released guidance consultation following the launch of a new type of instrument – centrally cleared contracts for difference. The guidance reminds us that these new instruments fall […] [...]