Regulated activities

Transaction Reporting

Transaction reporting

On 18 October 2019, the Financial Conduct Authority (FCA) has published Market Watch issue 62. This issue covers personal account dealing and transaction reporting. Transaction reporting In Market Watch 59, the FCA highlighted common errors observed in transaction reports. The FCA’s ongoing monitoring of transaction reports and engagement with firms has identified further data quality …

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What is a UCITS fund?

The UCITS regime provides a set of common standards applicable across all EU Member States for the operation and cross border promotion of a form of mutual fund called an undertaking for collective investment in transferable securities (UCITS). In the UK, a UCITS fund may be organised as a collective investment scheme (CIS), an open-ended …

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