This page provides useful links for firms and helps them answer common transaction reporting issues and queries.
| Issue | Text | Link |
|---|---|---|
| On-Exchange derivatives transaction reporting guidance (September 2009) | The On-Exchange derivatives document is a point of reference providing firms with detailed guidance on reporting various specific scenarios in reportable derivatives. The revised implementation date for AII will be announced shortly. | Guidelines on reporting of On-Exchange derivatives (AII and ISIN derivatives) [PDF] |
| Revised TRUP (September 2009) | The TRUP is a consolidated point of reference to help firms understand and comply with their transaction reporting obligations | TRUP [PDF] |
| Reporting derivatives - AII Update | MarketWatch (No.31) provides the latest update on how to report transactions in derivatives admitted to trading on regulated markets that use AII | MarketWatch [PDF] |
| Amendment to OTC derivative reporting rules | Handbook Notice 85 (page 11) describes our amendment to SUP 17.1.4 | Handbook Notice 85 |
| You can find further details in MarketWatch (No.29) (page 9) | MarketWatch [PDF] | |
| Chapter 5 contain our proposal to amend our rules on reporting of transactions in over the counter derivatives | CP08/16: Quarterly Consultation (No.18) | |
| Proposal to increase the ARM application fee | Contains our proposal to increase the application fee to become an ARM | July Quarterly Consultation Paper |
| CESR's list of regulated markets, MTFs and central counterparties | CESR has published a list of regulated markets, MTFs and central counterparties | CESR's MiFID database |
| Transaction reporting effective 5 November 2007 | PS07/02 - Annex D of Annex 3 contains the new rules (from p.348). You must read these in conjunction with proposed amendments made in CP07/16 (from page 102) and our response in PS07/18. | PS 07/02 (Annex 3, p.348) and CP 07/16 (p.102) and PS07/18 (ch. 23 and p.165) |
| Please also see Chapter 14 of PS07/02 and Chapter 5 of CP07/16. | PS 07/02 and CP 07/16 | |
| Reporting derivatives | Market Watch (no. 22) gives a high-level outline of the derivatives that firms must report (pages 3-5). | Market Watch [PDF] |
| You can find further details in the TRUP. | TRUP [PDF] | |
| You can find further details in the On-Exchange derivatives reporting guidance. | Guidelines on reporting of On-Exchange derivatives (AII and ISIN derivatives) [PDF] | |
| Branch reporting | Market Watch (no. 22) gives a high-level outline of the branch reporting rules (pages 2-3). | Market Watch [PDF] |
| You can find further details in the TRUP (page 12). | TRUP [PDF] | |
| While CESR’s original guidance can be found here. | CESR guidance | |
| Systematic Internalisers | CP07/16 contains our proposal to identify SI as the venue identification field where the counterparty is acting as such in an off market transaction. | CP 07/16 |
| You can find further details in Market Watch (no. 22), (page 8). | Market Watch [PDF] | |
| Commodity, interest rate and FX derivatives | Market Watch (No. 28) confirms these instruments are out of scope (page 9) | Market Watch [PDF] |
| Unique Client IDs | Market Watch (no. 22) covers unique client identifiers (page 6). | Market Watch [PDF] |
| Further details can be found in the TRUP (page 22). | TRUP [PDF] |
