• Doing business with the FSA
  • Being regulated
    • Reporting requirements
      • Transaction reporting
        • Managing Transaction Reporting
          • Request for sample transaction reports
          • Reference Data Synchronisation

Below is a list of countries where the competent authority requires the submission of client side transaction reports. Such reports require the client on whose behalf the trade has been undertaken to be identified within the transaction report.

• United Kingdom
• Austria
• Luxembourg (only where the client is a firm – ie not individuals)
• Ireland
• Denmark
• Lithuania
• Malta
• Sweden
• Hungary
• Finland
• Greece
• Czech Republic (only for bond transactions, but is trying to extend requirement to other instruments)
• Holland (optional)

Countries that hope to bring client identifier at a later date:

• Portugal (possibly June 2008)
• Spain (not known when local legislation will be passed)
• Iceland (still in discussions with ministry)
• Germany (Germany will only implement MiFID transaction reporting in 2008, however, it will require client identifiers when it does implement)

Countries not requiring client identifier:

• Italy
• Belgium
• France

*We are unaware of the requirements of the other countries within the EEA