Transaction reporting

Our Transaction Monitoring Unit is responsible for surveillance of UK markets, collection of transaction reports from the industry and for monitoring firms’ compliance with the rules set out in SUP 17 of the Handbook.

Our transaction reporting rules are in SUP17 of the Handbook.

The Transaction reporting user pack (TRUP) (latest version3.1, Feb 2015) is a consolidated point of reference to help firms understand and comply with their transaction reporting obligations.

If you want to check the integrity of your firm's transaction report data, you can request a sample through our form.

Help and resources

NLX Derivatives (from NASDAQ OMX) (May 2013)
This extract provides current transaction reporting guidance on derivatives admitted to trading on NLX.

OTC Derivatives (CESR/10-661 guidance) (PDF)
​Technical standards for reporting transactions in OTC derivatives

Market Watch bulletins

Our periodical newsletters consider current market conduct and transaction reporting issues.

Data sources

ESMA MiFID database
​The European Securities and Markets Association published list of regulated markets, MTFs and central counterparties.

Swift website
How to obtain a feed of Business Identified Codes (BICs) or search for them online.

Financial Services Register
Details of how to obtain a feed of Firm Reference Numbers (FRNs) or search for them online.

Fines

Your firm should submit data for reportable transactions by close of business the day after a trade is executed. We use this data to detect and investigate suspected market abuse, insider trading and market manipulation.

View our list of firms that we have fined for failures in their transaction reporting.