Qomply Regulatory News and Events

Third Financial Selects Qomply for Strategic MiFID Transaction Reporting Accuracy

Third Financial Selects Qomply for MiFIR Transaction Accuracy Checks

30 Nov 2021

Third Financial has selected Qomply, a leading transaction reporting technology firm, to provide integrated end-to-end MiFID Transaction Reporting accuracy checks within its FCA-regulated Investment Platform provider, Third Platform Services..

Read More...

Qomply Named Compliance System of the Year for 2021

Global Investor Investment Excellance Award 2021

15 October 2021

Qomply has been recognised as the Compliance System of the Year by the Global Investor Group Investment Excellence Awards 2021.

The award reflects Qomply's advanced rules engine and technology that simplifies accurate MiFIR, EMIR, and SFTR reporting.

Read More...

Qomply and Euronext Announce Partnership

Euronext and Qomply

21 Sept 2021

With MiFID implementation costing the industry over €2.5bn, firms are now seeking more cost-effective solutions as regulations mature.

By linking services, Qomply and Euronext provide clients with a straightforward solution without the high cost and complications of integrating separate solutions.

Read More...

Qomply Beefs Up Advisory Team with Appointment of David Peniket

David Peniket Joins Qomply

7 September 2021

Qomply announces David Peniket, former President of ICE Futures, Europe, as the latest appointment to its high-profile advisory team.

David helped spearhead the growth of Intercontinental Exchange (ICE) in Europe through an 18-year tenure at ICE Futures Europe. David led the ICE team which helped create the European Climate Exchange, and participated in a number of asset purchases, notably the creation of the Dutch exchange ICE Endex and the acquisition and integration of NYSE Euronext. Before joining ICE, David was a financial management consultant at KPMG.

Read More...

Qomply Partners with REGIS-TR, European Trade Repository, As It Expands European Services

REGIS-TR and Qomply

15 July 2021

This partnership will further support market participants in meeting their reporting obligations across Europe and in major European regulations

Read More...

Qomply Scoops British Bank Award 2021

Qomply takes another award in 2021

12 July 2021

Known as the Oscars for the banking industry, the British Bank Award for a regulatory firm went to Qomply for 2021.

Judged by their peers from across the market, Qomply was acknowledged for offering excellence in regulatory technology.

Read More...

Qomply Webinar | Financial Markets Regulation
Post-Brexit Retrospective and Horizon Scanning

Qomply Hosts FCA, KPMG and Bovill in Webinar

23 June 2021

Qomply hosts Webinar on 14 July 2021

Stephen Hanks from the FCAStephen Hanks - FCA
Kay Swinburne from KPMGDr. Kay Swinburne - KPMG
Damon Batten from BovillDamon Batten - Bovill

Moderated by Michelle Zak from Qomply.

Read More...

Webinar | MiFID II Transaction Reporting
Common Reporting Issues and How to Resolve Them

BDO and Qomply Conduct Webinar

19 May 2021

BDO hosts Qomply at Webinar on 16 June 2021

Top 10 rejections that firms are receiving from the regulators for their transactions.
Common hidden reporting errors
Common trade booking issues
The process of conducting a retrospective transaction report healthcheck, including the required three-way reconciliation process.

Qomply will demonstrate the use of technology to automatically identify, unpick and resolve errors in transaction reporting.

Read More...

Troubleshooting MiFID | Resolving the CON-412 Rejection Code

CON-412 Troubleshooting

12 May 2021

According the FCA, nearly 60pct of rejected transactions are due to the instrument not being found in their database. Even though firms have had three years to bed-in processes, the CON-412 rejection code continues to plague operations and compliance departments.

Learn how to use FREE tools to determine instrument reportability and avoid over reporting. Also, understand that trading venues sometimes fail to submit instrument data thereby resulting in an error on your side.

Read More...

Qomply Wins Prestigious Sell-Side Technology Award for Its Transaction Reporting Platform

Prestigious Sell-Side Technology Award

13 April 2021

Qomply is the winner of the prestigious “Best Sell-Side Newcomer” award from Waters Technology, one of the most respected accolades in the financial sector.

The Sell-Side Technology awards recognise the leading technologies and third-party vendors in their area of expertise, through an auditable and transparent methodology developed and managed by independent judges.

Qomply won the award for its innovative cloud-based platform that performs comprehensive diagnostics across every field of every trade contained in a transaction report for MiFID. Qomply implements methodologies used in electronic trading so as to ensure accurate and reliable results.

Read More...

Qomply Welcomes Peter Green to Advisory Committee

Qomply Advisory Committee

31 March 2021

Peter brings more than 30 years of financial expertise and market insights, further strengthening Qomply in expanding its ambitions and building its momenteum. Peter will contribute strategic guidance, commercial insights, and operational expertise.

Read More...

Paid Graduate Position Available at Qomply

3-6 Month Paid Graduate Position

22 March 2021

The Graduate Insight Programme is suitable for third-year university students with a thrist for knowledge and an entrepreneurial spirit.

Students gain experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

Read More...

Qomply and Bovill Announce Strategic Partnership

Qomply and Bovill Partnership

3 February 2021

Qomply, a leading transaction reporting RegTech firm, and Bovill, a global financial services regulatory consultancy, have announced a new partnership that will deliver a complete end-to-end transaction reporting service for financial institutions.

Read More...

Qomply Launches Free MiFID Service

FIRDs Lookup Service for MiFID Reportability

19 January 2021

As of 1 January 2021, the FCA started operating its own FIRDS database, a “golden source” of reference data for which 7 billion transactions depend. This places the FCA squarely in the spotlight as the integrity of data in the FCA FIRDS database is now instrumental in the regulatory obligations it had a hand in setting forward.

Read More...

Qomply Announces Spring 2-week Insight Programme for First or Second Year Students

Two-week programme for students

18 January 2021

You’ll gain real experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

Read More...

Transaction Reporting Webinar with Bovill Regulatory Experts

Bovill and Qomply Conduct Webinar

6 January 2021

An informal webinar offering participants the opportunity to ask questions relating to transaction reporting, compliance, and other regulatory topics. Qomply will be demonstrating their technology for checking transaction reports for accuracy, completeness, and over-reporting.

Read More...

FCA Breaks from EU in Operating Data Repository that Underpins Key Regulation

FCA starts its own FIRDS database post-brexit

20 January 2021

As of 1 January 2021, the FCA started operating its own FIRDS database, a “golden source” of reference data for which 7 billion transactions depend. This places the FCA squarely in the spotlight as the integrity of data in the FCA FIRDS database is now instrumental in the regulatory obligations it had a hand in setting forward.

Read More...

FCA and ESMA to Launch Changes on 1st January 2021

FCA and ESMA launch changes to FIRDS

10 December 2020

Changes to databases, service outages, and file size changes could impact firms if caught unaware. The FCA plans on doubling the amount of records made available in nightly files which could mean firms need to make available addition processing power to manage new file sizes.

Read More...

Qomply Shortlisted for Best Trade Reporting Solution

Qomply shortlisted for award

3 December 2020

We are pleased to announce that Qomply has been shortlisted for the “TradingTech Insight Award” in the Trade Reporting Solutions category.

Read More...

Part 2: Important Findings From Recent FCA Market Watches

FCA Marketwatch

11 November 2020

Part 2 of a discussion that takes an in-depth look at transaction reporting issues alongside resolution and remediation.

Read More...

Part 1: Important Findings From Recent FCA Market Watches

FCA market watch explained

2 November 2020

The FCA has released transaction report commentary in three separate publications of their Market Watch Newsletter (59, 62 and 65). This blog discusses findings and examples to support the FCA comments so as to clarify the impact and remediation of common transaction report shortcomings.

Read More...

Investment Firms Start to Awaken to Little Known MiFID Regulation

Qomply Diagnostic

25 June 2020

Strong likelihood that your firm is not complying with the MiFID II requirement for periodic reconciliation of transaction reports sent to the FCA.

Read More...

Shutting Down of CME’s Regulatory Reporting Leaves Firms Scrambling to Fill Gap

Abide shuts down

19 May 2020

In a sign of things to come, CME’s announcement potentially foretells a story of unprofitability in a market where FinTech’s are encroaching and ROI eroding.

Read More...

The Importance of Reconciling and Auditing Transaction Data

Reconciliation of Reports

6 May 2020

Reconciling and auditing transaction data is an instrumental part of the reguluations with few firms complying.

Read More...

FCA "hints" at Potential Enforcement in Key Areas: Part 1

MiFID enforcement

15 April 2020

FCA fires shot across the bow in their Market Watch publications. Firms must tighten weakness in reporting as enforcement looms

Read More...

FCA "hints" at Potential Enforcement in Key Areas: Part 2

Key Areas for MiFID

9 April 2020

FCA fires shot across the bow in their Market Watch publications. Firms must tighten weakness in reporting as enforcement looms

Read More...

Post-Brexit: 3rd Country Rules Impact UK Firms

Third Country Rules

26 March 2020

Post-Brexit may leave UK and EU viewing each other as a 3rd country. In which case, 3rd Country reporting requirements kick-in imposing requirements for more data in transaction reporting and data retainment of sensitive trader data.

Read More...

Let's Get In Touch!


Want to know more or just want to phone us up for a chat?

+44(0)20 8242 4789