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T+1 Trouble? A MiFID Checklist for US Firms Trading OTC Products in UK & Europe
US firms trading in the UK or EU may know MiFID II, but many remain unsure about T+1 transaction reporting requirements. This checklist offers seven key questions to help US firms confirm their MiFID II exposure, strengthen readiness, and avoid enforcement risk.
MiFID II Deep Dive: Following Market Conventions in the Absence of Prescribed Guidance
In the absence of detailed regulatory guidance, firms are expected to rely on established Market Conventions to meet MiFID II reporting obligations. In addition to conventions, industry Best Practices play a critical role in ensuring data quality. This guide distils some of the most relevant conventions and practices to help improve the accuracy and integrity of your firm’s reporting.
MiFID II: Top 5 Transaction Reporting Error Codes
Download our free MiFID II Transaction Reporting Top Error Codes and learn the Top five MiFID II Transaction Reporting Error Codes from 2018-2024 according to FCA data, how to avoid/mitigate them and the free Transaction Reporting tools that can help.
MiFID II Deep Dive: Aggregated Orders & The INTC Convention
Download our free Deep Dive guide written by former FCA regulator, Sophia Fulugunya which explores the challenges MiFID investment firms face when reporting Aggregated Orders and applying the INTC convention.
Transaction Reporting Cheat Sheet
Download our Transaction Reporting Cheat Sheet which includes free tools and resources for common reporting pain points such as ISINs, UPIs, resolving the CON-412 error code and XOFF vs XXXX.
EMIR Refit: Lessons Learned From EU Go Live Guide
EMIR Refit went into effect in the EU on April 29, 2024. As the UK prepares for its launch later this year, industry experts discuss lessons learned from the EU launch and share best practices.
MIFID Reconciliation 101 Guide
Gain insights into regulator expectations for reconciling transaction reports with our latest guide, written by Qomply's Director of Transaction Reporting and former FCA regulator, Sophia Fulugunya. Guide contains essential insights into the requirements, best practices, and options for reconciling transaction reports.
MiFID: The Silent Issues in Your Transaction Reporting Guide
This guide lists the "quieter" issues appearing in transaction reports that have been accepted by regulators. Many times, it is not until the regulators contact the firm that they notice their reporting was faulty.
EMIR Refit Guide
Many regulatory reporting teams are cross-functional and may be involved in implementation of various regimes including MiFIR and EMIR. This guide includes some of the most important differences to be aware of with EMIR Refit.
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