Transaction reporting library
This page provides useful links for firms gearing up for MiFID and helps them answer common transaction reporting queries and issues.
| Issue | Text | Link |
|---|---|---|
| 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 (page 12). | TRUP [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 OTC transaction. | CP 07/16 |
| You can find further details in Market Watch (no. 22), (page 8). | Market Watch [PDF] | |
| Cutover Issues | Market Watch (no. 22) gives a high-level outline of arrangements firms should have in place for the cutover to new reporting mechanism (page 7). | Market Watch [PDF] |
| Commodity, interest rate and FX derivatives | Market Watch (no. 22) clarifies our position on these instruments (page 4). | 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 19). | TRUP [PDF] |
