CMAR & CF10a
CASS oversight function and reporting requirement in place since 1 October
Transaction Reporting: Zen
Hard go-live’ date is 13 November at latest
Non-GABRIEL Paper Reports
Up to seven new NGP reports will be scheduled on GABRIEL
Transaction Reporting Matters
Guidance on reporting requirements for derivative transactions
Transaction Reporting Changes
Transaction Reporting Changes: Planned withdrawal of TRS service
Submissions to FSA
Two recent complaints against the FSA were upheld in the Regulator’s favour
Derivative Transaction Reporting
New guidance on reporting of on-exchange derivatives
Zen and the Art of Transaction Reporting
New system to impact on firms’ transaction reporting
Systems and Controls Questionnaire
Proposed changes to clarify reporting requirements
Standing Data & Telephone Numbers
Advance notice of telephone numbers