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Recent Focus of EU Regulators on TVTIC Structure and Validity

MiFID Transaction Reporting - TVTIC is key in data quality as highlighted by regulators

24 May 2022

TROUBLESHOOTING MIFID

The data quality of the Trading Venue Transaction Identification Code (TVTIC) in MiFID transaction reports has been the recent subject of European regulators.  In response, European Investment firms have honed-in on ensuring this field is accurately populated. 

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Dealing with Internal Accounts and Trade Allocations in MiIFD Reporting

MiFID Transaction Reporting - Use of INTC clarified

12 May 2022

TROUBLESHOOTING MIFID

Highlighting the keypoints to consider when modelling internal allocations or block trades in MiFID Transaction Reports.

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Accurately Reporting Date and Time of Transactions Related to Corporate Events

MiFID Transaction Reporting - Correctly reporting Date and Time of transactions associated with a Corporate Action

28 April 2022

TROUBLESHOOTING MIFID

When reporting the Trading Date and Time for transactions associated to a Corporate Event, many firms are getting this wrong and simply reporting transaction execution times.

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Avoiding Common Pitfalls by Clarifying Country Fields in MiFID

MiFID Transaction Reporting - Country Fields - Clarified

16 March 2022

TROUBLESHOOTING MIFID

The country fields in MiFID II transaction reports are the cause of much confusion for market participants. This article covers some of the pitfalls and provides guidance in getting these fields right.

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MiFID : Using XXXX and XOFF for OTC Transactions

Determining XXXX and XOFF transactions

8 March 2022

TROUBLESHOOTING MIFID

Struggling with the use of XXXX and XOFF in denoting OTC trades? Not sure about reportability and which indicator to use? Qomply's free tool helps simplify the process.

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MiFID : Common Reporting Issues and How to Resolve Them

BDO and Qomply Conduct Webinar

19 May 2021

WEBINAR

BDO hosts Qomply at Webinar on 16 June 2021

Webinar discusses top 10 reason why transaction rejected by FCA along with Common booking issues. Qomply demonstrates the use of technology to resolve errors in transaction reporting.

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MiFID Rejection Errors: Resolving the CON-412 Rejection Code

CON-412 Troubleshooting

12 May 2021

TROUBLESHOOTING MIFID

According the FCA, nearly 60pct of rejected transactions are due to the instrument not being found in their database. 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.

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Financial Markets Regulation
Post-Brexit Retrospective and Horizon Scanning

Qomply Hosts FCA, KPMG and Bovill in Webinar

23 June 2021

WEBINAR

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

Panelists share insights into the particular challenges faced by financial firms and the overall response and agility of the financial industry.

Moderated by Michelle Zak from Qomply.

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Instantly Determine MiFID Reportability with Qomply's Free Solution

FIRDs Lookup Service for MiFID Reportability

19 January 2021

TROUBLESHOOTING MIFID

To enable firms to conduct quick MiFID reportability checks, Qomply, has released a free service that determines if a financial instrument is MiFID-reportable in the UK, the EU, or both.

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Transaction Reporting Webinar with Bovill Regulatory Experts

Bovill and Qomply Conduct Webinar

6 January 2021

WEBINAR

An informal webinar, hosted by Bovill, where various regulatory topics are discussed. Qomply demonstrates their technology for checking transaction reports for accuracy, completeness, and timeliness.

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Part 1: Important Findings From Recent FCA Market Watches

FCA market watch explained

2 November 2020

TROUBLESHOOTING MIFID

The FCA has released transaction report commentary in three separate publications of their Market Watch Newsletter (59, 62 and 65). This blog clarifies the impact and outlines the remediation of these common transaction report shortcomings.

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Part 2: Important Findings From Recent FCA Market Watches

FCA market watch explained

11 November 2020

TROUBLESHOOTING MIFID

Part 2 of a discussion that takes an in-depth look at transaction reporting issues alongside resolution and remediation. CON-412 Error, Cancellations/Corrections and periodic accuracy checks are discussed.

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MiFID Reconciliation: A Key Component of Compliancy for Your Firm

Qomply Diagnostic

25 June 2020

TROUBLESHOOTING MIFID

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

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The Importance of Reconciling and Auditing Transaction Data

Reconciliation of Reports

6 May 2020

TROUBLESHOOTING MIFID

Reconciling and auditing transaction data is an instrumental part of the reguluations with few firms being compliant. Read more about this key component of the regulations.

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