You can monitor the integrity of your transaction reporting by requesting a sample of transaction reports received by the FSA's Transaction Monitoring Unit.

This will allow you to check the integrity of the data contained in your firm's transaction reports, helping you monitor your compliance with the transaction reporting rules in SUP 17.

* denotes mandatory fields

 
Request form

 

* 1.

 

Please enter the six digit FSA Reference Number (FRN) of each of your firm's entities and for each FRN please enter the associated Swift Bank Identification Codes (BICs) in the second column, separated with a semi colon, for which you require data.

For a list of FRNs visit the FSA Register.

FRN

BICs

 

* 2.

Please indicate each of the Approved Reporting Mechanisms and/or Exchanges you use to transaction report:

DARE

CREST

TRS

ICMA's TRAX 2

LSE's ERS

OTR

LIFFE's TRS

VIRT-X

* 3. Please specify the date range for the transaction reports you require. For example you can request all transaction reports received by the FSA containing trades executed on a particular day, by entering the same date in each of the fields

From:

to:
* 4. Your name
* 5. Your firm's trading name
* 6. Your contact telephone number including country and area codes.
* 7. Your email address