1. How to use this Guide

1.1. Background

This manual has been compiled for general reference.

This guide has been designed to support and enable all business areas to understand and comply with the firm’s transaction reporting policy. In doing so, it elaborates further and synthesises the reporting guidance and advice provided by the Financial Conduct Authority (FCA) Transaction Monitoring Unit (TMU) in particular, the transaction reporting rules under SUP 17 and TRUP version 3.1. Where feasible the guidance sets out how to transaction report in a number of common transaction reporting scenarios. The guide should therefore be used as a first port of call when assessing a transaction reporting question or scenario.

This guide will be of interest to all areas engaged in trading activities that may be subject to the transaction reporting obligation and to those areas supporting the transaction reporting process.

This manual is a living document and will be developed and expanded as your business and FCA guidance on transaction reporting evolves and develops. As such using this Wiki will ensure you are always referring to the latest version.

1.2. What to do if a scenario is not covered

If you are unsure of whether your scenario is properly covered by the pages contained herein, then you must contact the central control team for transaction reporting who will point you to the Compliance approved guidance. If necessary your central control team will liaise with your Compliance team for advice.

Alternatively, you can raise a ticket through the Kaizen Reporting helpdesk.