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Transaction reporting: Difference between revisions
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1. Competent authorities must monitor investment firms to ensure that they act honestly, fairly, professionally and act to promote the integrity of the market. <br> | 1. Competent authorities must monitor investment firms to ensure that they act honestly, fairly, professionally and act to promote the integrity of the market. <br> | ||
2. investment firms must hold for five years' data on all transactions they have handled including full client identification. <br> | 2. investment firms must hold for five years' data on all transactions they have handled including full client identification. <br> | ||
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4. This includes names and quantities of instruments traded, the time and date of execution, price and the investment firm concerned. <br> | 4. This includes names and quantities of instruments traded, the time and date of execution, price and the investment firm concerned. <br> | ||
5. Reports must be made by the investment firm, a third party acting on its behalf, or an approved trade reporting system. Where reported by the market or a trade reporting system, the investment firm's obligations may be waived. <br> | 5. Reports must be made by the investment firm, a third party acting on its behalf, or an approved trade reporting system. Where reported by the market or a trade reporting system, the investment firm's obligations may be waived. <br> | ||
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