Consulting
Practical, hands-on help from someone who has reviewed and remediated transaction reporting at firms of every kind, from wealth managers and asset managers to stockbrokers and CFD firms.
An end-to-end review of what you report and how: whether each instrument is reportable, how your reports are built, and a detailed check of what you actually submitted, with a clear, prioritised findings report.
Front-to-back reconciliation of what you reported against your own trade records, to find what is missing, extra or wrong.
Correcting past reports, with the cancellations and resubmissions that go with them. See backreporting.com.
Reporting procedures that match how you really trade, and training for operations and compliance teams.
Configuring and testing reporting platforms, and moving between providers without gaps or double reporting.
Getting ready for the FCA's new transaction reporting rules (PS26/15).
Pricing. £250 an hour plus VAT, with caps agreed for defined pieces of work, or a monthly retainer for ongoing support.