Recent Focus of EU Regulators on TVTIC Structure and Validity
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.
Dealing with Internal Accounts and Trade Allocations in MiIFD Reporting
12 May 2022
TROUBLESHOOTING MIFID
Highlighting the keypoints to consider when modelling internal allocations or block trades in MiFID Transaction Reports.
Accurately Reporting Date and Time of Transactions Related to Corporate Events
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.
Avoiding Common Pitfalls by Clarifying Country Fields in MiFID
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.
MiFID : Using XXXX and XOFF for OTC 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.
MiFID : Common Reporting Issues and How to Resolve Them
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.
MiFID Rejection Errors: Resolving the CON-412 Rejection Code
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.
Financial Markets Regulation
Post-Brexit Retrospective and Horizon Scanning
23 June 2021
WEBINAR
Stephen Hanks - FCA
Dr. Kay Swinburne - KPMG
Damon 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.
Instantly Determine MiFID Reportability with Qomply's Free Solution
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.
Transaction Reporting Webinar with Bovill Regulatory Experts
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.
Part 1: Important Findings From Recent FCA Market Watches
2 November 2020
Part 2: Important Findings From Recent FCA Market Watches
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.
MiFID Reconciliation: A Key Component of Compliancy for Your Firm
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.
The Importance of Reconciling and Auditing Transaction Data
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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