Transaction reporting

<!DOCTYPE html> <html lang="en" dir="ltr" prefix="content: http://purl.org/rss/1.0/modules/content/ dc: http://purl.org/dc/terms/ foaf: http://xmlns.com/foaf/0.1/ og: http://ogp.me/ns# rdfs: http://www.w3.org/2000/01/rdf-schema# schema: http://schema.org/ sioc: http://rdfs.org/sioc/ns# sioct: http://rdfs.org/sioc/types# skos: http://www.w3.org/2004/02/skos/core# xsd: http://www.w3.org/2001/XMLSchema# "> <head> <meta charset="utf-8" /> <meta name="description" content="We use transaction reports to detect and investigate market abuse. Read more about the regime and whether you need to submit transaction reports." /> <link rel="canonical" href="https://www.fca.org.uk/markets/transaction-reporting" /> <meta property="og:site_name" content="FCA" /> <meta property="og:type" content="article" /> <meta property="og:url" content="https://www.fca.org.uk/markets/transaction-reporting" /> <meta property="og:title" content="Transaction reporting" /> <meta property="og:description" content="We use transaction reports to detect and investigate market abuse. Read more about the regime and whether you need to submit transaction reports." /> <meta property="og:updated_time" content="2024-11-14T15:08:59+00:00" /> <meta property="article:published_time" content="2016-05-30T17:25:40+01:00" /> <meta property="article:modified_time" content="2024-11-14T15:08:59+00:00" /> <meta property="funnelback:content-type" content="Markets" /> <meta property="funnelback:type" content="Markets,Transaction reporting" /> <meta property="funnelback:published-year" content="2016" /> <meta property="funnelback:category" content="Markets,Markets" /> <meta property="funnelback:modified-date" content="14/11/2024" /> <meta property="funnelback:created-date" content="30/05/2016" /> <meta property="funnelback:nid" content="10921" /> <meta property="funnelback:published-int-date" content="20160528" /> <meta property="funnelback:published-date" content="2016/05/28" /> <meta property="funnelback:date-of-release-year" content="2016" /> <meta name="twitter:card" content="summary" /> <meta name="twitter:title" content="Transaction reporting" /> <meta name="twitter:description" content="We use transaction reports to detect and investigate market abuse. Read more about the regime and whether you need to submit transaction reports." /> <meta name="twitter:site" content="@TheFCA" /> <meta name="twitter:site:id" content="169431716" /> <meta name="twitter:image" content="https://www.fca.org.uk/sites/default/files/images/fca-logo-social-media.jpg" /> <meta name="theme-color" content="#fff" /> <meta name="apple-mobile-web-app-capable" content="yes" /> <meta name="apple-mobile-web-app-status-bar-style" content="black" /> <meta name="Generator" content="Drupal 10 (https://www.drupal.org)" /> <meta name="MobileOptimized" content="width" /> <meta name="HandheldFriendly" content="true" /> <meta name="viewport" content="width=device-width, initial-scale=1.0" /> <style>div#sliding-popup, div#sliding-popup .eu-cookie-withdraw-banner, .eu-cookie-withdraw-tab {background: #6C1D45} div#sliding-popup.eu-cookie-withdraw-wrapper { background: transparent; } #sliding-popup h1, #sliding-popup h2, #sliding-popup h3, #sliding-popup p, #sliding-popup label, #sliding-popup div, .eu-cookie-compliance-more-button, .eu-cookie-compliance-secondary-button, .eu-cookie-withdraw-tab { color: #ffffff;} .eu-cookie-withdraw-tab { border-color: #ffffff;}#sliding-popup.sliding-popup-top { position: fixed; }</style> <meta name="theme-color" content="#6c1d45" /> <script type="application/ld+json">{ "@context": "https://schema.org", "@graph": { "@type": "BreadcrumbList", "itemListElement": [ { "@type": "ListItem", "position": 1, "name": "Home", "item": "https://www.fca.org.uk/" }, { "@type": "ListItem", "position": 2, "name": "Markets", "item": "https://www.fca.org.uk/markets" }, { "@type": "ListItem", "position": 3, "name": "Transaction reporting" } ] } }</script> <link rel="icon" href="/themes/custom/fca/favicon.ico" type="image/vnd.microsoft.icon" /> <link rel="alternate" hreflang="en" href="https://www.fca.org.uk/markets/transaction-reporting" /> <script src="/sites/default/files/eu_cookie_compliance/eu_cookie_compliance.script.js?snrt07" defer></script> <title>Transaction reporting | FCA</title> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_U2LE4BuOskDtQz0nJOexylFrkXjDKCyNl3pXWedlT9A.css?delta=0&language=en&theme=fca&include=eJx1UVuSwyAMuxANR2IccICpeQw2bXP7hSTtx3b3g5cEwpJrIdKu9Qq01LG_Ucx3VoyEVmLJhgM0bPoD3A7AKd5ZMOkVGNVmQXsqK9CNZR8KXuFLptJb-joq7MaWco84llQpQrao_wKNww06iarQwDeogT9lfpCl59pXihxGQY-IT9bHvKTiOqF64rqVlvS1LnP6AoexhFkWhwKReJHiPR2ezHWFdRqcgOd_HydkBn8mUcfGbIhuBXs3x58WqtgAZ1q_NabpwlG-mbd6qTN5VrXFLLDSiCxLlP1q1vwUXxWym9wIMcvgD9ihjTzbKA3P6mypuwnRBxpDRm4TbAjO5NEkUxs-Yumn6Mxg6zkjHVYYodlwOpo0FxuBfgBJneE_" /> <link rel="stylesheet" media="all" href="/sites/default/files/css/css_Mna_hqzlHU0Zhl8ML_O_msXVm-fPYpAEdGpxF0Ddw0o.css?delta=1&language=en&theme=fca&include=eJx1UVuSwyAMuxANR2IccICpeQw2bXP7hSTtx3b3g5cEwpJrIdKu9Qq01LG_Ucx3VoyEVmLJhgM0bPoD3A7AKd5ZMOkVGNVmQXsqK9CNZR8KXuFLptJb-joq7MaWco84llQpQrao_wKNww06iarQwDeogT9lfpCl59pXihxGQY-IT9bHvKTiOqF64rqVlvS1LnP6AoexhFkWhwKReJHiPR2ezHWFdRqcgOd_HydkBn8mUcfGbIhuBXs3x58WqtgAZ1q_NabpwlG-mbd6qTN5VrXFLLDSiCxLlP1q1vwUXxWym9wIMcvgD9ihjTzbKA3P6mypuwnRBxpDRm4TbAjO5NEkUxs-Yumn6Mxg6zkjHVYYodlwOpo0FxuBfgBJneE_" /> <link rel=preload href="/themes/custom/fca/bootstrap/fonts/bootstrap/glyphicons-halflings-regular.woff2" as="font" crossorigin> <meta name="google-site-verification" content="UMTpd8qXqUbCGtkijm3SkFV2lRJQM2lIIkMKmJg8jMk" /> <meta name="msvalidate.01" content="57E38F6BD7138599EBD7F7F4FF496957" /> <script src="https://www.google.com/recaptcha/api.js?hl=en&render=explicit&onload=drupalRecaptchaOnload" async defer></script> </head> <body class="page-node-10921 node-bg-6c1d45 logged-out"> <div class="skip-links" role="region"> <a href="#main-content" id="skip-main-content" class="visually-hidden sr-only-focusable focusable" tab-index="1">Skip to main content</a> <a href="#edit-search-term" class="visually-hidden focusable skip-to-search">Skip to search box</a> </div> <noscript><iframe src="https://www.googletagmanager.com/ns.html?id=GTM-PCC62S" height="0" width="0" style="display:none;visibility:hidden"></iframe></noscript><script type="text/javascript">(window.NREUM||(NREUM={})).init={ajax:{deny_list:["bam.nr-data.net"]}};(window.NREUM||(NREUM={})).loader_config={licenseKey:"1bdb6f7fb8",applicationID:"1114563801"};;/*! For license information please see nr-loader-rum-1.274.0.min.js.LICENSE.txt */ (()=>{var e,t,r={8122:(e,t,r)=>{"use strict";r.d(t,{a:()=>i});var n=r(944);function i(e,t){try{if(!e||"object"!=typeof e)return(0,n.R)(3);if(!t||"object"!=typeof t)return(0,n.R)(4);const r=Object.create(Object.getPrototypeOf(t),Object.getOwnPropertyDescriptors(t)),o=0===Object.keys(r).length?e:r;for(let a in o)if(void 0!==e[a])try{if(null===e[a]){r[a]=null;continue}Array.isArray(e[a])&&Array.isArray(t[a])?r[a]=Array.from(new Set([...e[a],...t[a]])):"object"==typeof e[a]&&"object"==typeof t[a]?r[a]=i(e[a],t[a]):r[a]=e[a]}catch(e){(0,n.R)(1,e)}return r}catch(e){(0,n.R)(2,e)}}},2555:(e,t,r)=>{"use strict";r.d(t,{Vp:()=>c,fn:()=>s,x1:()=>u});var n=r(384),i=r(8122);const o={beacon:n.NT.beacon,errorBeacon:n.NT.errorBeacon,licenseKey:void 0,applicationID:void 0,sa:void 0,queueTime:void 0,applicationTime:void 0,ttGuid:void 0,user:void 0,account:void 0,product:void 0,extra:void 0,jsAttributes:{},userAttributes:void 0,atts:void 0,transactionName:void 0,tNamePlain:void 0},a={};function s(e){try{const t=c(e);return!!t.licenseKey&&!!t.errorBeacon&&!!t.applicationID}catch(e){return!1}}function c(e){if(!e)throw new Error("All info objects require an agent identifier!");if(!a[e])throw new Error("Info for ".concat(e," was never set"));return a[e]}function u(e,t){if(!e)throw new Error("All info objects require an agent identifier!");a[e]=(0,i.a)(t,o);const r=(0,n.nY)(e);r&&(r.info=a[e])}},9417:(e,t,r)=>{"use strict";r.d(t,{D0:()=>g,gD:()=>h,xN:()=>p});var n=r(993);const i=e=>{if(!e||"string"!=typeof e)return!1;try{document.createDocumentFragment().querySelector(e)}catch{return!1}return!0};var o=r(2614),a=r(944),s=r(384),c=r(8122);const u="[data-nr-mask]",d=()=>{const e={mask_selector:"*",block_selector:"[data-nr-block]",mask_input_options:{color:!1,date:!1,"datetime-local":!1,email:!1,month:!1,number:!1,range:!1,search:!1,tel:!1,text:!1,time:!1,url:!1,week:!1,textarea:!1,select:!1,password:!0}};return{ajax:{deny_list:void 0,block_internal:!0,enabled:!0,harvestTimeSeconds:10,autoStart:!0},distributed_tracing:{enabled:void 0,exclude_newrelic_header:void 0,cors_use_newrelic_header:void 0,cors_use_tracecontext_headers:void 0,allowed_origins:void 0},feature_flags:[],generic_events:{enabled:!0,harvestTimeSeconds:30,autoStart:!0},harvest:{tooManyRequestsDelay:60},jserrors:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},logging:{enabled:!0,harvestTimeSeconds:10,autoStart:!0,level:n.p_.INFO},metrics:{enabled:!0,autoStart:!0},obfuscate:void 0,page_action:{enabled:!0},page_view_event:{enabled:!0,autoStart:!0},page_view_timing:{enabled:!0,harvestTimeSeconds:30,autoStart:!0},performance:{capture_marks:!1,capture_measures:!1},privacy:{cookies_enabled:!0},proxy:{assets:void 0,beacon:void 0},session:{expiresMs:o.wk,inactiveMs:o.BB},session_replay:{autoStart:!0,enabled:!1,harvestTimeSeconds:60,preload:!1,sampling_rate:10,error_sampling_rate:100,collect_fonts:!1,inline_images:!1,fix_stylesheets:!0,mask_all_inputs:!0,get mask_text_selector(){return e.mask_selector},set mask_text_selector(t){i(t)?e.mask_selector="".concat(t,",").concat(u):""===t||null===t?e.mask_selector=u:(0,a.R)(5,t)},get block_class(){return"nr-block"},get ignore_class(){return"nr-ignore"},get mask_text_class(){return"nr-mask"},get block_selector(){return e.block_selector},set block_selector(t){i(t)?e.block_selector+=",".concat(t):""!==t&&(0,a.R)(6,t)},get mask_input_options(){return e.mask_input_options},set mask_input_options(t){t&&"object"==typeof t?e.mask_input_options={...t,password:!0}:(0,a.R)(7,t)}},session_trace:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},soft_navigations:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},spa:{enabled:!0,harvestTimeSeconds:10,autoStart:!0},ssl:void 0,user_actions:{enabled:!0}}},l={},f="All configuration objects require an agent identifier!";function g(e){if(!e)throw new Error(f);if(!l[e])throw new Error("Configuration for ".concat(e," was never set"));return l[e]}function p(e,t){if(!e)throw new Error(f);l[e]=(0,c.a)(t,d());const r=(0,s.nY)(e);r&&(r.init=l[e])}function h(e,t){if(!e)throw new Error(f);var r=g(e);if(r){for(var n=t.split("."),i=0;i<n.length-1;i++)if("object"!=typeof(r=r[n[i]]))return;r=r[n[n.length-1]]}return r}},3371:(e,t,r)=>{"use strict";r.d(t,{V:()=>f,f:()=>l});var n=r(8122),i=r(384),o=r(6154),a=r(9324);let s=0;const c={buildEnv:a.F3,distMethod:a.Xs,version:a.xv,originTime:o.WN},u={customTransaction:void 0,disabled:!1,isolatedBacklog:!1,loaderType:void 0,maxBytes:3e4,onerror:void 0,ptid:void 0,releaseIds:{},appMetadata:{},session:void 0,denyList:void 0,timeKeeper:void 0,obfuscator:void 0},d={};function l(e){if(!e)throw new Error("All runtime objects require an agent identifier!");if(!d[e])throw new Error("Runtime for ".concat(e," was never set"));return d[e]}function f(e,t){if(!e)throw new Error("All runtime objects require an agent identifier!");d[e]={...(0,n.a)(t,u),...c},Object.hasOwnProperty.call(d[e],"harvestCount")||Object.defineProperty(d[e],"harvestCount",{get:()=>++s});const r=(0,i.nY)(e);r&&(r.runtime=d[e])}},9324:(e,t,r)=>{"use strict";r.d(t,{F3:()=>i,Xs:()=>o,xv:()=>n});const n="1.274.0",i="PROD",o="CDN"},6154:(e,t,r)=>{"use strict";r.d(t,{OF:()=>c,RI:()=>i,WN:()=>d,bv:()=>o,gm:()=>a,mw:()=>s,sb:()=>u});var n=r(1863);const i="undefined"!=typeof window&&!!window.document,o="undefined"!=typeof WorkerGlobalScope&&("undefined"!=typeof self&&self instanceof WorkerGlobalScope&&self.navigator instanceof WorkerNavigator||"undefined"!=typeof globalThis&&globalThis instanceof WorkerGlobalScope&&globalThis.navigator instanceof WorkerNavigator),a=i?window:"undefined"!=typeof WorkerGlobalScope&&("undefined"!=typeof self&&self instanceof WorkerGlobalScope&&self||"undefined"!=typeof globalThis&&globalThis instanceof WorkerGlobalScope&&globalThis),s=Boolean("hidden"===a?.document?.visibilityState),c=/iPad|iPhone|iPod/.test(a.navigator?.userAgent),u=c&&"undefined"==typeof SharedWorker,d=((()=>{const e=a.navigator?.userAgent?.match(/Firefox[/\s](\d+\.\d+)/);Array.isArray(e)&&e.length>=2&&e[1]})(),Date.now()-(0,n.t)())},1687:(e,t,r)=>{"use strict";r.d(t,{Ak:()=>c,Ze:()=>l,x3:()=>u});var n=r(7836),i=r(3606),o=r(860),a=r(2646);const s={};function c(e,t){const r={staged:!1,priority:o.P3[t]||0};d(e),s[e].get(t)||s[e].set(t,r)}function u(e,t){e&&s[e]&&(s[e].get(t)&&s[e].delete(t),g(e,t,!1),s[e].size&&f(e))}function d(e){if(!e)throw new Error("agentIdentifier required");s[e]||(s[e]=new Map)}function l(e="",t="feature",r=!1){if(d(e),!e||!s[e].get(t)||r)return g(e,t);s[e].get(t).staged=!0,f(e)}function f(e){const t=Array.from(s[e]);t.every((([e,t])=>t.staged))&&(t.sort(((e,t)=>e[1].priority-t[1].priority)),t.forEach((([t])=>{s[e].delete(t),g(e,t)})))}function g(e,t,r=!0){const o=e?n.ee.get(e):n.ee,s=i.i.handlers;if(!o.aborted&&o.backlog&&s){if(r){const e=o.backlog[t],r=s[t];if(r){for(let t=0;e&&t<e.length;++t)p(e[t],r);Object.entries(r).forEach((([e,t])=>{Object.values(t||{}).forEach((t=>{t[0]?.on&&t[0]?.context()instanceof a.y&&t[0].on(e,t[1])}))}))}}o.isolatedBacklog||delete s[t],o.backlog[t]=null,o.emit("drain-"+t,[])}}function p(e,t){var r=e[1];Object.values(t[r]||{}).forEach((t=>{var r=e[0];if(t[0]===r){var n=t[1],i=e[3],o=e[2];n.apply(i,o)}}))}},7836:(e,t,r)=>{"use strict";r.d(t,{P:()=>c,ee:()=>u});var n=r(384),i=r(8990),o=r(3371),a=r(2646),s=r(5607);const c="nr@context:".concat(s.W),u=function e(t,r){var n={},s={},d={},l=!1;try{l=16===r.length&&(0,o.f)(r).isolatedBacklog}catch(e){}var f={on:p,addEventListener:p,removeEventListener:function(e,t){var r=n[e];if(!r)return;for(var i=0;i<r.length;i++)r[i]===t&&r.splice(i,1)},emit:function(e,r,n,i,o){!1!==o&&(o=!0);if(u.aborted&&!i)return;t&&o&&t.emit(e,r,n);for(var a=g(n),c=h(e),d=c.length,l=0;l<d;l++)c[l].apply(a,r);var p=m()[s[e]];p&&p.push([f,e,r,a]);return a},get:v,listeners:h,context:g,buffer:function(e,t){const r=m();if(t=t||"feature",f.aborted)return;Object.entries(e||{}).forEach((([e,n])=>{s[n]=t,t in r||(r[t]=[])}))},abort:function(){f._aborted=!0,Object.keys(f.backlog).forEach((e=>{delete f.backlog[e]}))},isBuffering:function(e){return!!m()[s[e]]},debugId:r,backlog:l?{}:t&&"object"==typeof t.backlog?t.backlog:{},isolatedBacklog:l};return Object.defineProperty(f,"aborted",{get:()=>{let e=f._aborted||!1;return e||(t&&(e=t.aborted),e)}}),f;function g(e){return e&&e instanceof a.y?e:e?(0,i.I)(e,c,(()=>new a.y(c))):new a.y(c)}function p(e,t){n[e]=h(e).concat(t)}function h(e){return n[e]||[]}function v(t){return d[t]=d[t]||e(f,t)}function m(){return f.backlog}}(void 0,"globalEE"),d=(0,n.Zm)();d.ee||(d.ee=u)},2646:(e,t,r)=>{"use strict";r.d(t,{y:()=>n});class n{constructor(e){this.contextId=e}}},9908:(e,t,r)=>{"use strict";r.d(t,{d:()=>n,p:()=>i});var n=r(7836).ee.get("handle");function i(e,t,r,i,o){o?(o.buffer([e],i),o.emit(e,t,r)):(n.buffer([e],i),n.emit(e,t,r))}},3606:(e,t,r)=>{"use strict";r.d(t,{i:()=>o});var n=r(9908);o.on=a;var i=o.handlers={};function o(e,t,r,o){a(o||n.d,i,e,t,r)}function a(e,t,r,i,o){o||(o="feature"),e||(e=n.d);var a=t[o]=t[o]||{};(a[r]=a[r]||[]).push([e,i])}},3878:(e,t,r)=>{"use strict";function n(e,t){return{capture:e,passive:!1,signal:t}}function i(e,t,r=!1,i){window.addEventListener(e,t,n(r,i))}function o(e,t,r=!1,i){document.addEventListener(e,t,n(r,i))}r.d(t,{DD:()=>o,jT:()=>n,sp:()=>i})},5607:(e,t,r)=>{"use strict";r.d(t,{W:()=>n});const n=(0,r(9566).bz)()},9566:(e,t,r)=>{"use strict";r.d(t,{LA:()=>s,bz:()=>a});var n=r(6154);const i="xxxxxxxx-xxxx-4xxx-yxxx-xxxxxxxxxxxx";function o(e,t){return e?15&e[t]:16*Math.random()|0}function a(){const e=n.gm?.crypto||n.gm?.msCrypto;let t,r=0;return e&&e.getRandomValues&&(t=e.getRandomValues(new Uint8Array(30))),i.split("").map((e=>"x"===e?o(t,r++).toString(16):"y"===e?(3&o()|8).toString(16):e)).join("")}function s(e){const t=n.gm?.crypto||n.gm?.msCrypto;let r,i=0;t&&t.getRandomValues&&(r=t.getRandomValues(new Uint8Array(e)));const a=[];for(var s=0;s<e;s++)a.push(o(r,i++).toString(16));return a.join("")}},2614:(e,t,r)=>{"use strict";r.d(t,{BB:()=>a,H3:()=>n,g:()=>u,iL:()=>c,tS:()=>s,uh:()=>i,wk:()=>o});const n="NRBA",i="SESSION",o=144e5,a=18e5,s={STARTED:"session-started",PAUSE:"session-pause",RESET:"session-reset",RESUME:"session-resume",UPDATE:"session-update"},c={SAME_TAB:"same-tab",CROSS_TAB:"cross-tab"},u={OFF:0,FULL:1,ERROR:2}},1863:(e,t,r)=>{"use strict";function n(){return Math.floor(performance.now())}r.d(t,{t:()=>n})},944:(e,t,r)=>{"use strict";function n(e,t){"function"==typeof console.debug&&console.debug("New Relic Warning: https://github.com/newrelic/newrelic-browser-agent/blob/main/docs/warning-codes.md#".concat(e),t)}r.d(t,{R:()=>n})},5284:(e,t,r)=>{"use strict";r.d(t,{t:()=>c,B:()=>s});var n=r(7836),i=r(6154);const o="newrelic";const a=new Set,s={};function c(e,t){const r=n.ee.get(t);s[t]??={},e&&"object"==typeof e&&(a.has(t)||(r.emit("rumresp",[e]),s[t]=e,a.add(t),function(e={}){try{i.gm.dispatchEvent(new CustomEvent(o,{detail:e}))}catch(e){}}({loaded:!0})))}},8990:(e,t,r)=>{"use strict";r.d(t,{I:()=>i});var n=Object.prototype.hasOwnProperty;function i(e,t,r){if(n.call(e,t))return e[t];var i=r();if(Object.defineProperty&&Object.keys)try{return Object.defineProperty(e,t,{value:i,writable:!0,enumerable:!1}),i}catch(e){}return e[t]=i,i}},6389:(e,t,r)=>{"use strict";function n(e,t=500,r={}){const n=r?.leading||!1;let i;return(...r)=>{n&&void 0===i&&(e.apply(this,r),i=setTimeout((()=>{i=clearTimeout(i)}),t)),n||(clearTimeout(i),i=setTimeout((()=>{e.apply(this,r)}),t))}}function i(e){let t=!1;return(...r)=>{t||(t=!0,e.apply(this,r))}}r.d(t,{J:()=>i,s:()=>n})},5289:(e,t,r)=>{"use strict";r.d(t,{GG:()=>o,sB:()=>a});var n=r(3878);function i(){return"undefined"==typeof document||"complete"===document.readyState}function o(e,t){if(i())return e();(0,n.sp)("load",e,t)}function a(e){if(i())return e();(0,n.DD)("DOMContentLoaded",e)}},384:(e,t,r)=>{"use strict";r.d(t,{NT:()=>o,US:()=>d,Zm:()=>a,bQ:()=>c,dV:()=>s,nY:()=>u,pV:()=>l});var n=r(6154),i=r(1863);const o={beacon:"bam.nr-data.net",errorBeacon:"bam.nr-data.net"};function a(){return n.gm.NREUM||(n.gm.NREUM={}),void 0===n.gm.newrelic&&(n.gm.newrelic=n.gm.NREUM),n.gm.NREUM}function s(){let e=a();return e.o||(e.o={ST:n.gm.setTimeout,SI:n.gm.setImmediate,CT:n.gm.clearTimeout,XHR:n.gm.XMLHttpRequest,REQ:n.gm.Request,EV:n.gm.Event,PR:n.gm.Promise,MO:n.gm.MutationObserver,FETCH:n.gm.fetch,WS:n.gm.WebSocket}),e}function c(e,t){let r=a();r.initializedAgents??={},t.initializedAt={ms:(0,i.t)(),date:new Date},r.initializedAgents[e]=t}function u(e){let t=a();return t.initializedAgents?.[e]}function d(e,t){a()[e]=t}function l(){return function(){let e=a();const t=e.info||{};e.info={beacon:o.beacon,errorBeacon:o.errorBeacon,...t}}(),function(){let e=a();const t=e.init||{};e.init={...t}}(),s(),function(){let e=a();const t=e.loader_config||{};e.loader_config={...t}}(),a()}},2843:(e,t,r)=>{"use strict";r.d(t,{u:()=>i});var n=r(3878);function i(e,t=!1,r,i){(0,n.DD)("visibilitychange",(function(){if(t)return void("hidden"===document.visibilityState&&e());e(document.visibilityState)}),r,i)}},3434:(e,t,r)=>{"use strict";r.d(t,{YM:()=>c});var n=r(7836),i=r(5607);const o="nr@original:".concat(i.W);var a=Object.prototype.hasOwnProperty,s=!1;function c(e,t){return e||(e=n.ee),r.inPlace=function(e,t,n,i,o){n||(n="");const a="-"===n.charAt(0);for(let s=0;s<t.length;s++){const c=t[s],u=e[c];d(u)||(e[c]=r(u,a?c+n:n,i,c,o))}},r.flag=o,r;function r(t,r,n,s,c){return d(t)?t:(r||(r=""),nrWrapper[o]=t,function(e,t,r){if(Object.defineProperty&&Object.keys)try{return Object.keys(e).forEach((function(r){Object.defineProperty(t,r,{get:function(){return e[r]},set:function(t){return e[r]=t,t}})})),t}catch(e){u([e],r)}for(var n in e)a.call(e,n)&&(t[n]=e[n])}(t,nrWrapper,e),nrWrapper);function nrWrapper(){var o,a,d,l;try{a=this,o=[...arguments],d="function"==typeof n?n(o,a):n||{}}catch(t){u([t,"",[o,a,s],d],e)}i(r+"start",[o,a,s],d,c);try{return l=t.apply(a,o)}catch(e){throw i(r+"err",[o,a,e],d,c),e}finally{i(r+"end",[o,a,l],d,c)}}}function i(r,n,i,o){if(!s||t){var a=s;s=!0;try{e.emit(r,n,i,t,o)}catch(t){u([t,r,n,i],e)}s=a}}}function u(e,t){t||(t=n.ee);try{t.emit("internal-error",e)}catch(e){}}function d(e){return!(e&&"function"==typeof e&&e.apply&&!e[o])}},993:(e,t,r)=>{"use strict";r.d(t,{ET:()=>o,p_:()=>i});var n=r(860);const i={ERROR:"ERROR",WARN:"WARN",INFO:"INFO",DEBUG:"DEBUG",TRACE:"TRACE"},o="log";n.K7.logging},3969:(e,t,r)=>{"use strict";r.d(t,{TZ:()=>n,XG:()=>s,rs:()=>i,xV:()=>a,z_:()=>o});const n=r(860).K7.metrics,i="sm",o="cm",a="storeSupportabilityMetrics",s="storeEventMetrics"},6630:(e,t,r)=>{"use strict";r.d(t,{T:()=>n});const n=r(860).K7.pageViewEvent},782:(e,t,r)=>{"use strict";r.d(t,{T:()=>n});const n=r(860).K7.pageViewTiming},6344:(e,t,r)=>{"use strict";r.d(t,{G4:()=>i});var n=r(2614);r(860).K7.sessionReplay;const i={RECORD:"recordReplay",PAUSE:"pauseReplay",REPLAY_RUNNING:"replayRunning",ERROR_DURING_REPLAY:"errorDuringReplay"};n.g.ERROR,n.g.FULL,n.g.OFF},4234:(e,t,r)=>{"use strict";r.d(t,{W:()=>o});var n=r(7836),i=r(1687);class o{constructor(e,t){this.agentIdentifier=e,this.ee=n.ee.get(e),this.featureName=t,this.blocked=!1}deregisterDrain(){(0,i.x3)(this.agentIdentifier,this.featureName)}}},7603:(e,t,r)=>{"use strict";r.d(t,{j:()=>P});var n=r(860),i=r(2555),o=r(3371),a=r(9908),s=r(7836),c=r(1687),u=r(5289),d=r(6154),l=r(944),f=r(3969),g=r(384),p=r(6344);const h=["setErrorHandler","finished","addToTrace","addRelease","addPageAction","setCurrentRouteName","setPageViewName","setCustomAttribute","interaction","noticeError","setUserId","setApplicationVersion","start",p.G4.RECORD,p.G4.PAUSE,"log","wrapLogger"],v=["setErrorHandler","finished","addToTrace","addRelease"];var m=r(1863),b=r(2614),y=r(993);var w=r(2646),A=r(3434);function R(e,t,r,n){if("object"!=typeof t||!t||"string"!=typeof r||!r||"function"!=typeof t[r])return(0,l.R)(29);const i=function(e){return(e||s.ee).get("logger")}(e),o=(0,A.YM)(i),a=new w.y(s.P);return a.level=n.level,a.customAttributes=n.customAttributes,o.inPlace(t,[r],"wrap-logger-",a),i}function E(){const e=(0,g.pV)();h.forEach((t=>{e[t]=(...r)=>function(t,...r){let n=[];return Object.values(e.initializedAgents).forEach((e=>{e&&e.api?e.exposed&&e.api[t]&&n.push(e.api[t](...r)):(0,l.R)(38,t)})),n.length>1?n:n[0]}(t,...r)}))}const x={};function _(e,t,g=!1){t||(0,c.Ak)(e,"api");const h={};var w=s.ee.get(e),A=w.get("tracer");x[e]=b.g.OFF,w.on(p.G4.REPLAY_RUNNING,(t=>{x[e]=t}));var E="api-",_=E+"ixn-";function N(t,r,n,o){const a=(0,i.Vp)(e);return null===r?delete a.jsAttributes[t]:(0,i.x1)(e,{...a,jsAttributes:{...a.jsAttributes,[t]:r}}),j(E,n,!0,o||null===r?"session":void 0)(t,r)}function T(){}h.log=function(e,{customAttributes:t={},level:r=y.p_.INFO}={}){(0,a.p)(f.xV,["API/log/called"],void 0,n.K7.metrics,w),function(e,t,r={},i=y.p_.INFO){(0,a.p)(f.xV,["API/logging/".concat(i.toLowerCase(),"/called")],void 0,n.K7.metrics,e),(0,a.p)(y.ET,[(0,m.t)(),t,r,i],void 0,n.K7.logging,e)}(w,e,t,r)},h.wrapLogger=(e,t,{customAttributes:r={},level:i=y.p_.INFO}={})=>{(0,a.p)(f.xV,["API/wrapLogger/called"],void 0,n.K7.metrics,w),R(w,e,t,{customAttributes:r,level:i})},v.forEach((e=>{h[e]=j(E,e,!0,"api")})),h.addPageAction=j(E,"addPageAction",!0,n.K7.genericEvents),h.setPageViewName=function(t,r){if("string"==typeof t)return"/"!==t.charAt(0)&&(t="/"+t),(0,o.f)(e).customTransaction=(r||"http://custom.transaction")+t,j(E,"setPageViewName",!0)()},h.setCustomAttribute=function(e,t,r=!1){if("string"==typeof e){if(["string","number","boolean"].includes(typeof t)||null===t)return N(e,t,"setCustomAttribute",r);(0,l.R)(40,typeof t)}else(0,l.R)(39,typeof e)},h.setUserId=function(e){if("string"==typeof e||null===e)return N("enduser.id",e,"setUserId",!0);(0,l.R)(41,typeof e)},h.setApplicationVersion=function(e){if("string"==typeof e||null===e)return N("application.version",e,"setApplicationVersion",!1);(0,l.R)(42,typeof e)},h.start=()=>{try{(0,a.p)(f.xV,["API/start/called"],void 0,n.K7.metrics,w),w.emit("manual-start-all")}catch(e){(0,l.R)(23,e)}},h[p.G4.RECORD]=function(){(0,a.p)(f.xV,["API/recordReplay/called"],void 0,n.K7.metrics,w),(0,a.p)(p.G4.RECORD,[],void 0,n.K7.sessionReplay,w)},h[p.G4.PAUSE]=function(){(0,a.p)(f.xV,["API/pauseReplay/called"],void 0,n.K7.metrics,w),(0,a.p)(p.G4.PAUSE,[],void 0,n.K7.sessionReplay,w)},h.interaction=function(e){return(new T).get("object"==typeof e?e:{})};const S=T.prototype={createTracer:function(e,t){var r={},i=this,o="function"==typeof t;return(0,a.p)(f.xV,["API/createTracer/called"],void 0,n.K7.metrics,w),g||(0,a.p)(_+"tracer",[(0,m.t)(),e,r],i,n.K7.spa,w),function(){if(A.emit((o?"":"no-")+"fn-start",[(0,m.t)(),i,o],r),o)try{return t.apply(this,arguments)}catch(e){const t="string"==typeof e?new Error(e):e;throw A.emit("fn-err",[arguments,this,t],r),t}finally{A.emit("fn-end",[(0,m.t)()],r)}}}};function j(e,t,r,i){return function(){return(0,a.p)(f.xV,["API/"+t+"/called"],void 0,n.K7.metrics,w),i&&(0,a.p)(e+t,[(0,m.t)(),...arguments],r?null:this,i,w),r?void 0:this}}function k(){r.e(296).then(r.bind(r,8778)).then((({setAPI:t})=>{t(e),(0,c.Ze)(e,"api")})).catch((e=>{(0,l.R)(27,e),w.abort()}))}return["actionText","setName","setAttribute","save","ignore","onEnd","getContext","end","get"].forEach((e=>{S[e]=j(_,e,void 0,g?n.K7.softNav:n.K7.spa)})),h.setCurrentRouteName=g?j(_,"routeName",void 0,n.K7.softNav):j(E,"routeName",!0,n.K7.spa),h.noticeError=function(t,r){"string"==typeof t&&(t=new Error(t)),(0,a.p)(f.xV,["API/noticeError/called"],void 0,n.K7.metrics,w),(0,a.p)("err",[t,(0,m.t)(),!1,r,!!x[e]],void 0,n.K7.jserrors,w)},d.RI?(0,u.GG)((()=>k()),!0):k(),h}var N=r(9417),T=r(8122);const S={accountID:void 0,trustKey:void 0,agentID:void 0,licenseKey:void 0,applicationID:void 0,xpid:void 0},j={};var k=r(5284);const I=e=>{const t=e.startsWith("http");e+="/",r.p=t?e:"https://"+e};let O=!1;function P(e,t={},r,n){let{init:a,info:c,loader_config:u,runtime:l={},exposed:f=!0}=t;l.loaderType=r;const p=(0,g.pV)();c||(a=p.init,c=p.info,u=p.loader_config),(0,N.xN)(e.agentIdentifier,a||{}),function(e,t){if(!e)throw new Error("All loader-config objects require an agent identifier!");j[e]=(0,T.a)(t,S);const r=(0,g.nY)(e);r&&(r.loader_config=j[e])}(e.agentIdentifier,u||{}),c.jsAttributes??={},d.bv&&(c.jsAttributes.isWorker=!0),(0,i.x1)(e.agentIdentifier,c);const h=(0,N.D0)(e.agentIdentifier),v=[c.beacon,c.errorBeacon];O||(h.proxy.assets&&(I(h.proxy.assets),v.push(h.proxy.assets)),h.proxy.beacon&&v.push(h.proxy.beacon),E(),(0,g.US)("activatedFeatures",k.B),e.runSoftNavOverSpa&&=!0===h.soft_navigations.enabled&&h.feature_flags.includes("soft_nav")),l.denyList=[...h.ajax.deny_list||[],...h.ajax.block_internal?v:[]],l.ptid=e.agentIdentifier,(0,o.V)(e.agentIdentifier,l),e.ee=s.ee.get(e.agentIdentifier),void 0===e.api&&(e.api=_(e.agentIdentifier,n,e.runSoftNavOverSpa)),void 0===e.exposed&&(e.exposed=f),O=!0}},8374:(e,t,r)=>{r.nc=(()=>{try{return document?.currentScript?.nonce}catch(e){}return""})()},860:(e,t,r)=>{"use strict";r.d(t,{$J:()=>o,K7:()=>n,P3:()=>i});const n={ajax:"ajax",genericEvents:"generic_events",jserrors:"jserrors",logging:"logging",metrics:"metrics",pageAction:"page_action",pageViewEvent:"page_view_event",pageViewTiming:"page_view_timing",sessionReplay:"session_replay",sessionTrace:"session_trace",softNav:"soft_navigations",spa:"spa"},i={[n.pageViewEvent]:1,[n.pageViewTiming]:2,[n.metrics]:3,[n.jserrors]:4,[n.spa]:5,[n.ajax]:6,[n.sessionTrace]:7,[n.softNav]:8,[n.sessionReplay]:9,[n.logging]:10,[n.genericEvents]:11},o={[n.pageViewTiming]:"events",[n.ajax]:"events",[n.spa]:"events",[n.softNav]:"events",[n.metrics]:"jserrors",[n.jserrors]:"jserrors",[n.sessionTrace]:"browser/blobs",[n.sessionReplay]:"browser/blobs",[n.logging]:"browser/logs",[n.genericEvents]:"ins"}}},n={};function i(e){var t=n[e];if(void 0!==t)return t.exports;var o=n[e]={exports:{}};return r[e](o,o.exports,i),o.exports}i.m=r,i.d=(e,t)=>{for(var r in t)i.o(t,r)&&!i.o(e,r)&&Object.defineProperty(e,r,{enumerable:!0,get:t[r]})},i.f={},i.e=e=>Promise.all(Object.keys(i.f).reduce(((t,r)=>(i.f[r](e,t),t)),[])),i.u=e=>"nr-rum-1.274.0.min.js",i.o=(e,t)=>Object.prototype.hasOwnProperty.call(e,t),e={},t="NRBA-1.274.0.PROD:",i.l=(r,n,o,a)=>{if(e[r])e[r].push(n);else{var s,c;if(void 0!==o)for(var u=document.getElementsByTagName("script"),d=0;d<u.length;d++){var l=u[d];if(l.getAttribute("src")==r||l.getAttribute("data-webpack")==t+o){s=l;break}}if(!s){c=!0;var f={296:"sha512-gkYkZDAwQ9PwaDXs2YM+rNIdRej1Ac1mupWobRJ8eahQcXz6/sunGZCKklrzi5kWxhOGRZr2tn0rEKuLTXzfAA=="};(s=document.createElement("script")).charset="utf-8",s.timeout=120,i.nc&&s.setAttribute("nonce",i.nc),s.setAttribute("data-webpack",t+o),s.src=r,0!==s.src.indexOf(window.location.origin+"/")&&(s.crossOrigin="anonymous"),f[a]&&(s.integrity=f[a])}e[r]=[n];var g=(t,n)=>{s.onerror=s.onload=null,clearTimeout(p);var i=e[r];if(delete e[r],s.parentNode&&s.parentNode.removeChild(s),i&&i.forEach((e=>e(n))),t)return t(n)},p=setTimeout(g.bind(null,void 0,{type:"timeout",target:s}),12e4);s.onerror=g.bind(null,s.onerror),s.onload=g.bind(null,s.onload),c&&document.head.appendChild(s)}},i.r=e=>{"undefined"!=typeof Symbol&&Symbol.toStringTag&&Object.defineProperty(e,Symbol.toStringTag,{value:"Module"}),Object.defineProperty(e,"__esModule",{value:!0})},i.p="https://js-agent.newrelic.com/",(()=>{var e={840:0,374:0};i.f.j=(t,r)=>{var n=i.o(e,t)?e[t]:void 0;if(0!==n)if(n)r.push(n[2]);else{var o=new Promise(((r,i)=>n=e[t]=[r,i]));r.push(n[2]=o);var a=i.p+i.u(t),s=new Error;i.l(a,(r=>{if(i.o(e,t)&&(0!==(n=e[t])&&(e[t]=void 0),n)){var o=r&&("load"===r.type?"missing":r.type),a=r&&r.target&&r.target.src;s.message="Loading chunk "+t+" failed.\n("+o+": "+a+")",s.name="ChunkLoadError",s.type=o,s.request=a,n[1](s)}}),"chunk-"+t,t)}};var t=(t,r)=>{var n,o,[a,s,c]=r,u=0;if(a.some((t=>0!==e[t]))){for(n in s)i.o(s,n)&&(i.m[n]=s[n]);if(c)c(i)}for(t&&t(r);u<a.length;u++)o=a[u],i.o(e,o)&&e[o]&&e[o][0](),e[o]=0},r=self["webpackChunk:NRBA-1.274.0.PROD"]=self["webpackChunk:NRBA-1.274.0.PROD"]||[];r.forEach(t.bind(null,0)),r.push=t.bind(null,r.push.bind(r))})(),(()=>{"use strict";i(8374);var e=i(944),t=i(6344),r=i(9566);class n{agentIdentifier;constructor(e=(0,r.LA)(16)){this.agentIdentifier=e}#e(t,...r){if("function"==typeof this.api?.[t])return this.api[t](...r);(0,e.R)(35,t)}addPageAction(e,t){return this.#e("addPageAction",e,t)}setPageViewName(e,t){return this.#e("setPageViewName",e,t)}setCustomAttribute(e,t,r){return this.#e("setCustomAttribute",e,t,r)}noticeError(e,t){return this.#e("noticeError",e,t)}setUserId(e){return this.#e("setUserId",e)}setApplicationVersion(e){return this.#e("setApplicationVersion",e)}setErrorHandler(e){return this.#e("setErrorHandler",e)}addRelease(e,t){return this.#e("addRelease",e,t)}log(e,t){return this.#e("log",e,t)}}class o extends n{#e(t,...r){if("function"==typeof this.api?.[t])return this.api[t](...r);(0,e.R)(35,t)}start(){return this.#e("start")}finished(e){return this.#e("finished",e)}recordReplay(){return this.#e(t.G4.RECORD)}pauseReplay(){return this.#e(t.G4.PAUSE)}addToTrace(e){return this.#e("addToTrace",e)}setCurrentRouteName(e){return this.#e("setCurrentRouteName",e)}interaction(){return this.#e("interaction")}wrapLogger(e,t,r){return this.#e("wrapLogger",e,t,r)}}var a=i(860),s=i(9417);const c=Object.values(a.K7);function u(e){const t={};return c.forEach((r=>{t[r]=function(e,t){return!0===(0,s.gD)(t,"".concat(e,".enabled"))}(r,e)})),t}var d=i(7603);var l=i(1687),f=i(4234),g=i(5289),p=i(6154),h=i(384);const v=e=>p.RI&&!0===(0,s.gD)(e,"privacy.cookies_enabled");function m(e){return!!(0,h.dV)().o.MO&&v(e)&&!0===(0,s.gD)(e,"session_trace.enabled")}var b=i(6389);class y extends f.W{constructor(e,t,r=!0){super(e.agentIdentifier,t),this.auto=r,this.abortHandler=void 0,this.featAggregate=void 0,this.onAggregateImported=void 0,!1===e.init[this.featureName].autoStart&&(this.auto=!1),this.auto?(0,l.Ak)(e.agentIdentifier,t):this.ee.on("manual-start-all",(0,b.J)((()=>{(0,l.Ak)(e.agentIdentifier,this.featureName),this.auto=!0,this.importAggregator(e)})))}importAggregator(t,r={}){if(this.featAggregate||!this.auto)return;let n;this.onAggregateImported=new Promise((e=>{n=e}));const o=async()=>{let o;try{if(v(this.agentIdentifier)){const{setupAgentSession:e}=await i.e(296).then(i.bind(i,3861));o=e(t)}}catch(t){(0,e.R)(20,t),this.ee.emit("internal-error",[t]),this.featureName===a.K7.sessionReplay&&this.abortHandler?.()}try{if(t.sharedAggregator)await t.sharedAggregator;else{t.sharedAggregator=i.e(296).then(i.bind(i,9337));const{EventAggregator:e}=await t.sharedAggregator;t.sharedAggregator=new e}if(!this.#t(this.featureName,o))return(0,l.Ze)(this.agentIdentifier,this.featureName),void n(!1);const{lazyFeatureLoader:e}=await i.e(296).then(i.bind(i,6103)),{Aggregate:a}=await e(this.featureName,"aggregate");this.featAggregate=new a(t,r),n(!0)}catch(t){(0,e.R)(34,t),this.abortHandler?.(),(0,l.Ze)(this.agentIdentifier,this.featureName,!0),n(!1),this.ee&&this.ee.abort()}};p.RI?(0,g.GG)((()=>o()),!0):o()}#t(e,t){switch(e){case a.K7.sessionReplay:return m(this.agentIdentifier)&&!!t;case a.K7.sessionTrace:return!!t;default:return!0}}}var w=i(6630);class A extends y{static featureName=w.T;constructor(e,t=!0){super(e,w.T,t),this.importAggregator(e)}}var R=i(9908),E=i(2843),x=i(3878),_=i(782),N=i(1863);class T extends y{static featureName=_.T;constructor(e,t=!0){super(e,_.T,t),p.RI&&((0,E.u)((()=>(0,R.p)("docHidden",[(0,N.t)()],void 0,_.T,this.ee)),!0),(0,x.sp)("pagehide",(()=>(0,R.p)("winPagehide",[(0,N.t)()],void 0,_.T,this.ee))),this.importAggregator(e))}}var S=i(3969);class j extends y{static featureName=S.TZ;constructor(e,t=!0){super(e,S.TZ,t),this.importAggregator(e)}}new class extends o{constructor(t,r){super(r),p.gm?(this.features={},(0,h.bQ)(this.agentIdentifier,this),this.desiredFeatures=new Set(t.features||[]),this.desiredFeatures.add(A),this.runSoftNavOverSpa=[...this.desiredFeatures].some((e=>e.featureName===a.K7.softNav)),(0,d.j)(this,t,t.loaderType||"agent"),this.run()):(0,e.R)(21)}get config(){return{info:this.info,init:this.init,loader_config:this.loader_config,runtime:this.runtime}}run(){try{const t=u(this.agentIdentifier),r=[...this.desiredFeatures];r.sort(((e,t)=>a.P3[e.featureName]-a.P3[t.featureName])),r.forEach((r=>{if(!t[r.featureName]&&r.featureName!==a.K7.pageViewEvent)return;if(this.runSoftNavOverSpa&&r.featureName===a.K7.spa)return;if(!this.runSoftNavOverSpa&&r.featureName===a.K7.softNav)return;const n=function(e){switch(e){case a.K7.ajax:return[a.K7.jserrors];case a.K7.sessionTrace:return[a.K7.ajax,a.K7.pageViewEvent];case a.K7.sessionReplay:return[a.K7.sessionTrace];case a.K7.pageViewTiming:return[a.K7.pageViewEvent];default:return[]}}(r.featureName).filter((e=>!(e in this.features)));n.length>0&&(0,e.R)(36,{targetFeature:r.featureName,missingDependencies:n}),this.features[r.featureName]=new r(this)}))}catch(t){(0,e.R)(22,t);for(const e in this.features)this.features[e].abortHandler?.();const r=(0,h.Zm)();delete r.initializedAgents[this.agentIdentifier]?.api,delete r.initializedAgents[this.agentIdentifier]?.features,delete this.sharedAggregator;return r.ee.get(this.agentIdentifier).abort(),!1}}}({features:[A,T,j],loaderType:"lite"})})()})();</script> <div class="dialog-off-canvas-main-canvas" data-off-canvas-main-canvas> <header class="header"> <div class="container"> <div class="row"> <div class="col-xs-12 col-sm-4 header__logo-col"> <a class="header__logo navbar-btn pull-left" href="/" title="Home"> <img src="/themes/custom/fca/images/logo.png" alt="Home" width="210" height="66"> </a> </div> <div class="col-md-8 col-sm-8 header__nav-col"> <div class="row header__nav-search"> <div id="block-fca-funnelback-fca-funnelback-search-box" class="block block-fca-funnelback clearfix col-xs-12 col-md-6 header__nav-search-block"> <section class="fca-funnelback-investsmart-search-form block block-fca-funnelback block-funnelback-search-block clearfix" data-drupal-selector="fca-funnelback-investsmart-search-form" novalidate="novalidate" id="block-funnelbacksearchblock"> <form action="/markets/transaction-reporting" method="post" id="fca-funnelback-investsmart-search-form" accept-charset="UTF-8"> <div class="input-group search-input-group"> <label class="sr-only" for="edit-search-term"> Search </label> <input title="Search" placeholder="Search" class="funnelback-query form-text form-control" data-drupal-selector="edit-search-term" type="text" id="edit-search-term" name="search_term" value="" size="60" maxlength="128" /> <span class="input-group-btn"> <button aria-label="Submit" title="Submit" class="form-submit btn--search text-hide button js-form-submit form-submit btn-primary btn icon-before" data-drupal-selector="edit-submit" type="submit" id="edit-submit--2" name="op" value="Search"><span class="icon glyphicon glyphicon-search" aria-hidden="true"></span> Search</button> </span> </div> <input data-drupal-selector="form-nsl08imexts4sxabaehahqy614f-ruj6lm8u1jick-o" type="hidden" name="form_build_id" value="form-nSl08Imexts4SXabaEhahQY614f_ruJ6lm8U1JIcK_o" /><input data-drupal-selector="edit-fca-funnelback-investsmart-search-form" type="hidden" name="form_id" value="fca_funnelback_investsmart_search_form" /> </form> </section> </div> </div> </div> <div class="col-md-10 header__nav-col header__nav-menu"> <div class="row header__nav-wrapper"> <nav class="navbar navbar-default header__nav-navigation" aria-labelledby="navbar-collapse"> <div class="navbar-header"> <button type="button" class="navbar-toggle menu-icon" data-toggle="collapse" data-target=".navbar-collapse"> <span class="sr-only">Toggle navigation</span> <span class="icon-bar"></span> <span class="icon-bar"></span> <span class="icon-bar"></span> </button> </div> <div class="navbar-collapse collapse" id="navbar-collapse"> <section class="block-tb-megamenu-main-menu"> <div class="tb-megamenu tb-megamenu-main-menu"> <nav aria-labelledby="block-fca-main-menu-menu" id="block-fca-main-menu"> <p class="sr-only" id="block-fca-main-menu-menu">Main navigation</p> <div class="always-show"> <ul class="tb-megamenu-nav nav level-0 items-6 list-inline mega-menu"> <li class="first tb-megamenu-item level-1 mega dropdown col-xs-12 col-sm-2 mega-menu__level-one-item mega-menu__about-us"> <a href="/about" class="dropdown-toggle mega-menu__level-one-link" data-drupal-link-system-path="node/98011">About us</a> <div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_block_contextual dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="views-element-container form-group"><div class="megamenu-promo view view-megamenu-promo-content view-id-megamenu_promo_content view-display-id-block js-view-dom-id-f89dc6f9f04c330cf2430e7bc85f00178443fd34f8ad920bab182d8242b8f5df"> <h3 class="promo-block__title heading__underline">Contact us</h3> <div class="view-content"> <div class="views-row"><div class="promo-block__copy"><p>Get in touch by phone, via our online form, or by post:</p> <p> </p> <p>Financial Conduct Authority<br> 12 Endeavour Square<br> London E20 1JN</p> <p> </p> </div><a href="/contact" class="promo-block__read-more btn btn--arrow-right" aria-label="Contact us - Contact us">Contact us</a></div> </div> </div> </div> <div class="megamenu-categories"> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">What we do</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-8b5e52cee838752914b45d7455c0596aacd2220ce5e0106d4c6bbb770af06df9"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/about/what-we-do/the-fca" hreflang="en">About the FCA</a></li> <li class="menu--item"><a href="/about/what-we-do/enhancing-market-integrity" hreflang="en">Enhancing market integrity</a></li> <li class="menu--item"><a href="/about/how-we-work-menu" hreflang="en">How we work</a></li> <li class="menu--item"><a href="/about/what-we-do/promoting-competition" hreflang="en">Promoting competition</a></li> <li class="menu--item"><a href="/about/what-we-do/protecting-consumers" hreflang="en">Protecting consumers</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">How we regulate</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-4facdbb68839fc021cf47958e2a02c85139d5fa31eb0501eec32fbb4662b58b9"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/authorisation-menu" hreflang="en">Authorisation</a></li> <li class="menu--item"><a href="/about/how-we-regulate/enforcement" hreflang="en">Enforcement</a></li> <li class="menu--item"><a href="/about/how-we-regulate/handbook" hreflang="en">Handbook of rules and guidance</a></li> <li class="menu--item"><a href="/about/how-we-regulate/international-standards-regulations" hreflang="en">International standards and regulations</a></li> <li class="menu--item"><a href="/about/how-we-regulate/supervision" hreflang="en">Supervision</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">How we operate</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-76ab3273acd6e105a3a32c4ef7579511f4f24b1ddc23812739411a5137285717"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/about/how-we-operate/complain-about-regulators" hreflang="en">Complain about us, the PRA or the Bank of England (the regulators)</a></li> <li class="menu--item"><a href="/about/how-we-operate/corporate-responsibility" hreflang="en">Corporate responsibility</a></li> <li class="menu--item"><a href="/about/how-we-operate/diversity-equity-inclusion" hreflang="en">Diversity, equity and inclusion</a></li> <li class="menu--item"><a href="/about/how-we-operate/environmental-sustainability" hreflang="en">Environmental sustainability</a></li> <li class="menu--item"><a href="/about/how-we-operate/who-work-with" hreflang="en">Who we work with</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Who we are</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-4918590a7d2720a73d0c8dacf856842dd0b6a39a9e142f9df5cec6e734a6c4eb"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/about/who-we-are/chair" hreflang="en">Chair</a></li> <li class="menu--item"><a href="/about/who-we-are/chief-executive" hreflang="en">Chief Executive</a></li> <li class="menu--item"><a href="/about/who-we-are/committees" hreflang="en">Committees</a></li> <li class="menu--item"><a href="/about/who-we-are/executive-committees" hreflang="en">Executive committees</a></li> <li class="menu--item"><a href="/about/who-we-are/fca-board" hreflang="en">FCA Board</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Join us</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-f24ec38c8bf323d4141b1ea45092c25c5920fc299da09aab2952347a5b5aebe3"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/careers-home" hreflang="en">Careers home</a></li> <li class="menu--item"><a href="/careers/early-careers" hreflang="en">Early careers</a></li> <li class="menu--item"><a href="/careers/experienced-professionals" hreflang="en">Experienced professionals</a></li> </ul> </div> </div> </div> </div> </div> <div class="views-element-container form-group"><div class="megamenu-footer view view-megamenu-footer view-id-megamenu_footer view-display-id-block js-view-dom-id-37a38f1ec0ba98ccf616cb64327bb611af7a53b4fb99d5d71e9c92db41255ef3"> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </li> <li class="tb-megamenu-item level-1 mega dropdown col-xs-12 col-sm-2 mega-menu__level-one-item mega-menu__firms"> <a href="/firms" class="dropdown-toggle mega-menu__level-one-link" data-drupal-link-system-path="node/2886">Firms</a> <div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_block_contextual dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="views-element-container form-group"><div class="megamenu-promo view view-megamenu-promo-content view-id-megamenu_promo_content view-display-id-block js-view-dom-id-2ab1d553ba358b8e0db5dd1ffb3a3276123b503596e20b67b7e538063e785f7d"> <h3 class="promo-block__title heading__underline">Firms overview</h3> <div class="view-content"> <div class="views-row"><div class="promo-block__copy"><p>Go to our dedicated section to see support for firms and our latest policy updates.</p> <p> </p> </div><a href="/firms" class="promo-block__read-more btn btn--arrow-right" aria-label="Firms overview - Find out more">Find out more</a></div> </div> </div> </div> <div class="megamenu-categories"> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><a href="/firms/authorisation" hreflang="en">Firm authorisation</a></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-b9b6e228aa7870a56b9c7ab08b09bef38282cc991172bf2674692f6fdcb4c757"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/firms/authorisation" hreflang="en">Authorisation</a></li> <li class="menu--item"><a href="/firms/authorisation/cancel" hreflang="en">Cancelling an authorisation or registration</a></li> <li class="menu--item"><a href="/firms/check-if-firm-authorised" hreflang="en">Check if a firm is authorised</a></li> <li class="menu--item"><a href="/firms/authorisation/apply" hreflang="en">How to apply for authorisation or registration</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Regulated firms</span></h4><div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_firms_types js-view-dom-id-8f6ad4d37d956a3a9c6004293441c915572db51c30e8ca095769d8c3dc3e0762 dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="megamenu-categories"> <div class="item-list firms-types"> <ul> <li class="menu--item"><a href="/firms" hreflang="en">All firms</a></li> <li class="menu--item"><a href="/firms/claims-management-companies" hreflang="en">Claims management companies</a></li> <li class="menu--item"><a href="/firms/consumer-credit" hreflang="en">Consumer credit firms</a></li> <li class="menu--item"><a href="/firms/electronic-money-payment-institutions" hreflang="en">Electronic money and payment institutions</a></li> <li class="menu--item"><a href="/firms/funeral-plan-providers-intermediaries" hreflang="en">Funeral plan providers and intermediaries</a></li> <li class="menu--item"><a href="/firms/innovation" hreflang="en">Innovation Hub</a></li> <li class="menu--item"><a href="/firms/mutual-societies" hreflang="en">Mutual societies</a></li> </ul> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Tasks for firms</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-e91927deb6cbccb618e112eb363e181b5c30789016308d0d1cc3d42d634b00d3"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/firms/approved-persons" hreflang="en">Approved persons</a></li> <li class="menu--item"><a href="/firms/change-control" hreflang="en">Change in control</a></li> <li class="menu--item"><a href="/firms/fees" hreflang="en">Fees and levies</a></li> <li class="menu--item"><a href="/firms/firm-details" hreflang="en">Keeping your firm's details up to date</a></li> <li class="menu--item"><a href="/firms/appointed-representatives-principals" hreflang="en">Principals and appointed representatives </a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><a href="/firms/consumer-duty" hreflang="en">Focus areas</a></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-fb3d10b230ec224e3fc371a04666c17621f2302d0b9f99669793af32c8fd7d0c"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/firms/consumer-duty" hreflang="en">Consumer Duty</a></li> <li class="menu--item"><a href="/firms/cost-living-firm-information" hreflang="en">Cost of living: firm information</a></li> <li class="menu--item"><a href="/firms/cryptoassets-information" hreflang="en">Cryptoassets</a></li> <li class="menu--item"><a href="/firms/access-to-cash" hreflang="en">Helping people access cash</a></li> <li class="menu--item"><a href="/firms/regulatory-framework-reforms" hreflang="en">Regulatory framework reforms</a></li> <li class="menu--item"><a href="/firms/senior-managers-certification-regime" hreflang="en">Senior Managers and Certification Regime </a></li> </ul> </div> </div> </div> </div> </div> <div class="views-element-container form-group"><div class="megamenu-footer view view-megamenu-footer view-id-megamenu_footer view-display-id-block js-view-dom-id-4864bcc4234a32190e7172d0d0e3f127b592366f25f9f08807895c0afc2ad604"> <div class="view-content"> <div style="background-image: url(https://www.fca.org.uk/sites/default/files/styles/no_style/public/media/images/megamenu-banner-consumer-duty-350_78.jpg?itok=5eIJffZC);" class="megamenu-footer__image" > </div> <div class="views-row"><div class="megamenu-footer__copy"><p class="megamenu-footer__title">Consumer Duty </p> <p>We're hosting events to help firms prepare for the new rules. Sign up to hear about these and related communications.</p> </div><a href="/sign-consumer-duty-email-updates" class="megamenu-footer__read-more btn btn--arrow-right" aria-label="Consumer Duty - Sign up">Sign up</a></div> </div> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </li> <li class="active active-trail tb-megamenu-item level-1 mega dropdown col-xs-12 col-sm-2 mega-menu__level-one-item mega-menu__markets"> <a href="/markets" class="dropdown-toggle mega-menu__level-one-link active-trail" data-drupal-link-system-path="node/2891">Markets</a> <div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_block_contextual dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="views-element-container form-group"><div class="view view-megamenu-promo-content view-id-megamenu_promo_content view-display-id-block js-view-dom-id-93ee66ace4438c003f69cd7068c0a499c7f47056d53073cfaa53cc079dbf7363"> </div> </div> <div class="megamenu-categories"> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Primary markets</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-14463ba0f80a02e58a02430798ea6510b6e78c2d9762ae54ab96ecc23fb00526"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/markets/primary-markets/forms" hreflang="en">Forms and checklists</a></li> <li class="menu--item"><a href="/markets/primary-markets/knowledge-base" hreflang="en">Knowledge Base</a></li> <li class="menu--item"><a href="/markets/primary-markets/listing-applications" hreflang="en">Listing applications and cancellations</a></li> <li class="menu--item"><a href="/markets/ukla/regulatory-disclosures" hreflang="en">Regulatory Disclosures</a></li> <li class="menu--item"><a href="/markets/primary-markets/sponsor-regime" hreflang="en">The sponsor regime</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Markets policy</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-4ae1268af7253b6c0e538ca36cc60600f9819f3a66e3b0d1e849f04721ee5589"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/markets/libor-transition" hreflang="en">About LIBOR transition</a></li> <li class="menu--item"><a href="/markets/data-reporting-services-providers-drsps" hreflang="en">Data reporting services providers</a></li> <li class="menu--item"><a href="/markets/securitisation" hreflang="en">Securitisation</a></li> <li class="menu--item"><a href="/markets/uk-emir" hreflang="en">UK EMIR</a></li> <li class="menu--item"><a href="/markets/sftr" hreflang="en">UK Securities Financing Transactions Regulation (UK SFTR)</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Regulated markets</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-e6534412638b63a6732b2ee94f52b982454d63dc2f18864f5778e9b4c57ebd30"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/markets/benchmarks" hreflang="en">Benchmarks</a></li> <li class="menu--item"><a href="/markets/central-securities-depositories" hreflang="en">Central securities depositories</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Market abuse</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-03578db09b0cef825de978de472ee2f4677679397a8950a639419387c027c7d3"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/markets/market-abuse/how-report-suspected-market-abuse-firm-or-trading-venue" hreflang="en">How to report suspected market abuse as a firm or trading venue</a></li> <li class="menu--item"><a href="/markets/market-abuse/how-report-suspected-market-abuse-individual" hreflang="en">How to report suspected market abuse as an individual</a></li> <li class="menu--item"><a href="/markets/market-abuse/regulation" hreflang="en">Market Abuse Regulation</a></li> <li class="menu--item"><a href="/markets/market-abuse/polling-and-market-abuse-regulation" hreflang="en">Polling and Market Abuse Regulation</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Short selling</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-3df650889a3f08a6df00f6e139a68dcaa75d95b9a6015c910dfe8c39f73cdc7b"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/markets/short-selling/exemptions-requirements" hreflang="en">Exemptions from short-selling requirements</a></li> <li class="menu--item"><a href="/markets/short-selling/notification-disclosure-net-short-positions" hreflang="en">Notification and disclosure of net short positions</a></li> <li class="menu--item"><a href="/markets/short-selling" hreflang="en">Short selling</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Transaction reporting</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-fb7e511ae8163357647ab079879e159da8793a3d238edb230fd4d8b853b25cba"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/markets/transaction-reporting/instrument-reference-data" hreflang="en">Instrument reference data</a></li> <li class="menu--item"><a href="/markets/transaction-reporting" hreflang="en">Transaction reporting</a></li> </ul> </div> </div> </div> </div> </div> <div class="views-element-container form-group"><div class="megamenu-footer view view-megamenu-footer view-id-megamenu_footer view-display-id-block js-view-dom-id-d8084ebfd3a6f4524d06eab132d7aab5b31eb4966545109be69fb71b05c7bc84"> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </li> <li class="tb-megamenu-item level-1 mega dropdown col-xs-12 col-sm-2 mega-menu__level-one-item mega-menu__consumers"> <a href="/consumers" class="dropdown-toggle mega-menu__level-one-link" data-drupal-link-system-path="node/2901">Consumers</a> <div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_block_contextual dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="views-element-container form-group"><div class="megamenu-promo view view-megamenu-promo-content view-id-megamenu_promo_content view-display-id-block js-view-dom-id-25b3449a1d2479aa776f8e9dfa338a78826f3c3d864900c3befa47a5af00d1cf"> <h3 class="promo-block__title heading__underline">Our Consumer section</h3> <div class="view-content"> <div style="background-image: url(https://www.fca.org.uk/sites/default/files/styles/no_style/public/media/images/megamenu-promo-consumers-326_151.jpg?itok=TUo8zN9W);" class="megamenu-promo__image" > </div> <div class="views-row"><div class="promo-block__copy"><p>See our dedicated section to help you stay up-to-date with financial services in the UK.</p> <p> </p> </div><a href="/consumers" class="promo-block__read-more btn btn--arrow-right" aria-label="Our Consumer section - Find out more">Find out more</a></div> </div> </div> </div> <div class="megamenu-categories"> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Your rights</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-7aa03cdfb8a2d6e0784d3d7b28abb619aff97a8db9c386e05f0d8b168f54375e"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/consumers/check-if-firm-fca-authorised" hreflang="en">Check if a firm is authorised</a></li> <li class="menu--item"><a href="/consumers/pension-transfer-defined-benefit" hreflang="en">Considering a defined benefit pension transfer</a></li> <li class="menu--item"><a href="/consumers/high-risk-investments" hreflang="en">High risk investments</a></li> <li class="menu--item"><a href="/consumers/information-victims-financial-crime" hreflang="en">Information for victims of financial crime</a></li> <li class="menu--item"><a href="/consumers/using-financial-services-register" hreflang="en">Using the Financial Services Register</a></li> <li class="menu--item"><a href="/consumers/your-rights-financial-services" hreflang="en">Your rights with financial services</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Complaints</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-42d279e8095dfa7497de76c58fb914412a453d32504807b4c742c1a25f0df715"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/consumers/complain-about-regulator" hreflang="en">Complain about a regulator</a></li> <li class="menu--item"><a href="/consumers/claim-compensation-firm-fails" hreflang="en">How to claim compensation if a firm fails</a></li> <li class="menu--item"><a href="/consumers/how-complain" hreflang="en">How to complain</a></li> <li class="menu--item"><a href="/consumers/using-claims-management-companies" hreflang="en">Using claims management companies</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Scams</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-f1a882e4964472dc6439392df76957fb22e78439cc8eff8926ff09b2b0e830f0"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/consumers/crypto-investment-scams" hreflang="en">Crypto investment scams</a></li> <li class="menu--item"><a href="/consumers/fake-fca-communications" hreflang="en">Fake FCA communications</a></li> <li class="menu--item"><a href="/consumers/loan-fee-fraud" hreflang="en">Loan fee fraud</a></li> <li class="menu--item"><a href="/consumers/pension-scams" hreflang="en">Pension scams</a></li> <li class="menu--item"><a href="/consumers/protect-yourself-scams" hreflang="en">Protect yourself from scams</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Report a firm</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-eb911e278c5077264838a26ec6da278307f8a221918b35be09997d61bf686fbb"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/consumers/misleading-financial-promotions" hreflang="en">Misleading financial promotions</a></li> <li class="menu--item"><a href="/consumers/how-complain/report-payment-services-e-money-firm" hreflang="en">Report a payment services or e-money firm</a></li> <li class="menu--item"><a href="/consumers/report-scam" hreflang="en">Report a scam</a></li> <li class="menu--item"><a href="/consumers/unfair-contracts" hreflang="en">Unfair contracts</a></li> </ul> </div> </div> </div> </div> </div> <div class="views-element-container form-group"><div class="megamenu-footer view view-megamenu-footer view-id-megamenu_footer view-display-id-block js-view-dom-id-07b6cfaf875932b3248bf830f8549ce76d822be2a1d564b4ab4564cfa6456bcd"> <div class="view-content"> <div style="background-image: url(https://www.fca.org.uk/sites/default/files/styles/no_style/public/media/images/megamenu-banner-warnings-350_78.jpg?itok=w6yre39y);" class="megamenu-footer__image" > </div> <div class="views-row"><div class="megamenu-footer__copy"><p class="megamenu-footer__title">FCA Warning List </p> <p>Find our most up-to-date warnings of firms and individuals running scams or operating without authorisation.</p> </div><a href="/consumers/warning-list-unauthorised-firms" class="megamenu-footer__read-more btn btn--arrow-right" aria-label="FCA Warning List - Read more">Read more</a></div> </div> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </li> <li class="tb-megamenu-item level-1 mega dropdown col-xs-12 col-sm-2 mega-menu__level-one-item mega-menu__news"> <a href="/news" class="dropdown-toggle mega-menu__level-one-link" data-drupal-link-system-path="node/11876">News</a> <div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_block_contextual dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="views-element-container form-group"><div class="megamenu-promo view view-megamenu-promo-content view-id-megamenu_promo_content view-display-id-block js-view-dom-id-059cf1fcfe07766f255aeb356c36e8504ef8008e1e54f2e52be91d835dfb838b"> <h3 class="promo-block__title heading__underline">Sign up to receive daily alerts on the warnings we issue</h3> <div class="view-content"> <div class="views-row"><div class="promo-block__copy"><p>Receive new and updated warnings in a daily email.</p> <p> </p> </div><a href="/sign-fca-warnings-list-daily-alerts" class="promo-block__read-more btn btn--arrow-right" aria-label="Sign up to receive daily alerts on the warnings we issue - Sign up">Sign up</a></div> </div> </div> </div> <div class="megamenu-categories"> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><a href="/news" hreflang="en">News</a></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-57a7b3e7874b3d6ad0eba86360cf9e3de530cd56e7e6ac9b3d4a04eeec1e8370"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/news/blogs/blogs" hreflang="en">Blogs</a></li> <li class="menu--item"><a href="/news/news-stories/news-stories" hreflang="en">News stories</a></li> <li class="menu--item"><a href="/news/press-releases/press-releases" hreflang="en">Press releases</a></li> <li class="menu--item"><a href="/news/speeches/speeches" hreflang="en">Speeches</a></li> <li class="menu--item"><a href="/news/statements/statements" hreflang="en">Statements</a></li> <li class="menu--item"><a href="/news/warnings/warnings" hreflang="en">Warnings</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link">Media centre</span></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-ddd82e49cbc16deebe9b3d39e507bec9041481f0bfb0a21f34e04053c976f3b6"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/news/news-stories/inside-fca-podcasts" hreflang="en">Inside FCA podcasts</a></li> <li class="menu--item"><a href="/news/news-stories/media-library" hreflang="en">Media library</a></li> </ul> </div> </div> </div> </div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><a href="/events" hreflang="en">Events</a></h4><div class="view view-megamenu-block-items view-id-megamenu_block_items view-display-id-default js-view-dom-id-ecb292c7a1daa0a138de61f65ddcd51bf986d29f5d5e78fd7567645bd874c2e2"> <div class="view-content"> <div class="item-list"> <ul> <li class="menu--item"><a href="/news/news-stories/see-all-fca-events" hreflang="en">See all FCA events</a></li> </ul> </div> </div> </div> </div> </div> <div class="views-element-container form-group"><div class="megamenu-footer view view-megamenu-footer view-id-megamenu_footer view-display-id-block js-view-dom-id-f6156de570385e284aa8d40aa5361073d154d906054a0717328ef4601e37859b"> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </li> <li class="last tb-megamenu-item level-1 mega dropdown col-xs-12 col-sm-2 mega-menu__level-one-item mega-menu__publications"> <a href="/publications" class="dropdown-toggle mega-menu__level-one-link" data-drupal-link-system-path="node/6011">Publications</a> <div class="megamenu__menu view view-megamenu-block view-id-megamenu_block view-display-id-megamenu_block_contextual dropdown-menu mega-menu__level-two-wrapper"> <div class="view-content"> <div class="container"> <div class="row"> <div class="views-element-container form-group"><div class="view view-megamenu-promo-content view-id-megamenu_promo_content view-display-id-block js-view-dom-id-e37f93a12e8f7adbe06fcd715e78c0fccec5c4bd4f89d5b5bd6736382f8cfcce"> </div> </div> <div class="megamenu-categories"> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link"><a href="/publications/search-results?p_search_term=%20&category=policy%20and%20guidance%2Cpolicy%20and%20guidance-calls%20for%20input%2Cpolicy%20and%20guidance-consultation%20papers%2Cpolicy%20and%20guidance-discussion%20papers%2Cpolicy%20and%20guidance-feedback%20statements%2Cpolicy%20and%20guidance-finalised%20guidance%2Cpolicy%20and%20guidance-guidance%20consultations%2Cpolicy%20and%20guidance-good%20and%20poor%20practice%2Cpolicy%20and%20guidance-handbook%2Cpolicy%20and%20guidance-market%20studies%2Cpolicy%20and%20guidance-multi-firm%20reviews%2Cpolicy%20and%20guidance-newsletters%2Cpolicy%20and%20guidance-policy%20statements%2Cpolicy%20and%20guidance-thematic%20reviews&sort_by=dmetaZ">Policy and guidance</a></span></h4></div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link"><a href="/publications/search-results?category=corporate%20documents%2Ccorporate%20documents-annual%20reports%2Ccorporate%20documents-business%20plans%2Ccorporate%20documents-corporate%20documents%2Ccorporate%20documents-impact%20assessments%2Ccorporate%20documents-memorandums%20of%20understanding%2Ccorporate%20documents-correspondence%2Ccorporate%20documents-foi%20releases%2Ccorporate%20documents-meeting%20minutes&start=1">Corporate documents</a></span></h4></div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link"><a href="/publications/search-results?p_search_term&category=notices%20and%20decisions-decision%20notices%2Cnotices%20and%20decisions-libor%20notices%2Cnotices%20and%20decisions-final%20notices%2Cnotices%20and%20decisions-warning%20notices%2Cnotices%20and%20decisions-supervisory%20notices%2Cnotices%20and%20decisions-cancellation%20notices%2Cnotices%20and%20decisions-requirement%20notices%2Cnotices%20and%20decisions-temporary%20product%20interventions%2Cnotices%20and%20decisions-undertakings%2Cnotices%20and%20decisions-waivers%20and%20crr%20notices">Notices and decisions</a></span></h4></div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link"><a href="/data">Data</a></span></h4></div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link"><a href="/research">Research</a></span></h4></div> <div class="megamenu-category col-sm-4 col-lg-4"><h4 class="menu__heading heading__underline"><span class="no-link"><a href="/publications/search-results?start=1&category=forms">Forms</a></span></h4></div> </div> <div class="views-element-container form-group"><div class="megamenu-footer view view-megamenu-footer view-id-megamenu_footer view-display-id-block js-view-dom-id-4d895de8689cdf774046121625f78eb440513ccab65c1fea1024b56151c020d1"> </div> </div> <button tabindex="0" aria-label="Close menu link" class="megamenu__close btn--close text-hide hidden-xs js-megamenu-close">Close menu</button> </div> </div> </div> </div> </li> </ul> </div> </nav> </div> </section> </div> </nav> </div> </div> </div> </div> </header>  <div class="container" aria-label="Breadcrumb trail"> <div class="breadcrumb-wrapper"> <ol class="breadcrumb"> <li><a href="/">Home</a></li> <li><a href="/markets">Markets</a></li> <li class="active">Transaction reporting</li> </ol> </div> </div> <div role="main" class="main-container js-quickedit-main-content"> <section> <div class="highlighted"> <div class="region region-highlighted"> <div data-drupal-messages-fallback class="hidden"></div> </div> </div> <a id="main-content"></a> <div class="region region-content"> <div class="container container-header-- "> <div class="row row--relative"> <div data-history-node-id="10921" about="/markets/transaction-reporting" class="article-header col-xs-12 four-step-limit col-sm-9"> <h1 class="page-header"> <span>Transaction reporting</span> </h1> <div class="article-meta "> <span class="pubdate">First published: <time datetime="2016-05-28T12:30:00Z">28/05/2016</time> </span> <span class="pubdate latest">Last updated: <span class="date">14/11/2024</span></span> <span class="revisions"><a href="#revisions">See all updates</a></span> </div> </div> </div> </div> <div class="container"> <div class="row"> <article data-history-node-id="10921" about="/markets/transaction-reporting" class="article-header col-xs-12 four-step-limit col-sm-9 has-sidebar clearfix article-content--markets"> <div class="node-content__wrapper node-content__wrapper--border"> <section class="copy-highlighted copy-block component fca-colour--6c1d45 fca-innovation"> <div class="container"> <p>We use transaction reports to detect and investigate market abuse. Read more about the regime and whether you need to submit transaction reports.</p> </div> </section> <div class="rhn__on-this-page visible-xs rhn__on-this-page--markets"> <button class="rhn__button"> <h2 class="h3">On this page <img src="/themes/custom/fca/images/document-blue.svg" alt=""></h2> </button> <ul class="nav navbar-nav"><li><a href="#section-who-needs-to-submit-a-transaction-report">Who needs to submit a transaction report</a></li><li><a href="#section-when-a-transaction-is-reportable">When a transaction is reportable</a></li><li><a href="#section-reconciliation-of-transaction-reports">Reconciliation of transaction reports</a></li><li><a href="#section-submitting-errors-and-omissions-notifications">Submitting errors and omissions notifications</a></li><li><a href="#section-back-reporting">Back reporting</a></li></ul> </div> <section class="copy-block fca-innovation"> <div class="container"> <p>UK MiFIR transaction reports must be submitted following the execution of a transaction in a reportable instrument. Transaction reports include information on the instrument traded, the price, and the participants involved.</p> <p>The requirement to submit transaction reports is contained in <a href="https://www.legislation.gov.uk/eur/2014/600/article/26" target="_blank">Article 26 of UK MiFIR</a>. This is supplemented by applicable guidance on the transaction reporting regime.</p> <p>Complete and accurate transaction reports play a critical role in our ability to monitor markets. Transaction reports are also used to conduct supervision and support the work of other regulatory authorities such as the Bank of England.</p> <p>The Markets Reporting Team (MRT) is responsible for monitoring the quality of transaction reporting data. The MRT is also responsible for supervising firms’ compliance with transaction reporting requirements and for developing transaction reporting rules.</p> <p>Our <a href="/markets/transaction-reporting/resources" data-entity-type="node" data-entity-uuid="463bf0ac-e614-4abe-968c-c2884f2906e1" data-entity-substitution="canonical" title="Transaction reporting resources">transaction reporting resources</a> page includes more on applicable regulatory materials, updates and relevant Market Watch newsletters.</p> </div> </section> <section id="section-who-needs-to-submit-a-transaction-report" class="copy-block fca-innovation"> <div class="container"> <h2>Who needs to submit a transaction report</h2> <p>This depends on the activity conducted by a firm. In general, the following categories of firms are required to submit transaction reports: </p> <ul> <li>UK MiFID investment firms excluding collective portfolio management investment firms.</li> <li>Operators of a trading venue (recognised investment exchanges, multilateral trading facilities (MTFs) and organised trading facilities (OTFs)).</li> <li>UK branches of third country investment firms.</li> <li>Small Authorised UK AIFMs with MiFID permissions.</li> <li>UK CRD Credit institutions.</li> </ul> <p>For principal firms with appointed representatives (ARs), the obligation to report sits with the principal firm in relation to any reportable activity conducted by its ARs.</p> <p>Under Article 26(7) of UK MiFIR transaction reports can only be submitted by:</p> <ul> <li>an investment firm submitting their own reports directly to the FCA’s <a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="08b27228-fba5-454f-95b0-3019f5639f5b" href="/markets/market-data-processor" title="Market Data Processor (MDP)">Market Data Processor (MDP)</a></li> <li>an Approved Reporting Mechanism (ARM) acting on behalf of an investment firm</li> <li>a trading venue who submits on behalf of non-MiFID entities executing through its systems (UK MiFIR Article 26 (5))</li> </ul> <p><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="6151f2cf-ea80-4913-b9f0-6e0e97ad2574" href="/markets/data-reporting-services-providers-drsps" title="Data reporting services providers">Find out more about ARMs</a>.</p> </div> </section> <section id="section-when-a-transaction-is-reportable" class="copy-block fca-innovation"> <div class="container"> <h2>When a transaction is reportable</h2> <p>Under Article 26(1) UK MiFIR an investment firm must submit transaction reports for transactions it executes in financial instruments. An investment firm is deemed to have executed a transaction where it provides any of the services set out in Article 3 of RTS 22. The scope of these instruments is set out in Article 26(2) UK MiFIR.</p> <p>If you're not sure whether you need to submit transaction reports, answer the questions below.</p> </div> </section> <div class="decision-tree-embed component"> <div class="decision-tree-container" id="decision-tree-wrapper" data-decision-tree-id=> <article data-history-node-id="135196" about="/decision-tree/when-transaction-reportable-decision-tree"> <div class="node-content__wrapper"> <div id="decision-tree-wrapper-135196" data-decision-tree-id=135196> <div class="decision-tree-question" data-decision-tree-question-id="1306" data-decision-tree-question-position="0"> <div class="question-label"> <p>Is the instrument a financial instrument as specified in Part 1 of Schedule 2 to the Regulated Activities Order (RAO)?</p> </div> <div class="question-answers"> <button class="fca-decision-tree-back btn btn-warning">Back</button> <ul class="question-answers__list"> <li class="question-answers__item"> <div class="decision-tree-answer answer-2236" data-decision-tree-answer-id=2236 > <button class="answer-2236 btn btn-primary" data-decision-tree-answer-id=2236 data-decision-tree-next-question-id=1316> Yes </button> <div class="decision-tree-feedback"> </div> </div> </li><li class="question-answers__item"> <div class="decision-tree-answer answer-2241" data-decision-tree-answer-id=2241 > <button class="answer-2241 btn btn-primary" data-decision-tree-answer-id=2241 data-decision-tree-next-question-id=1311> No </button> <div class="decision-tree-feedback"> </div> </div> </li> </ul> </div> </div> <div class="decision-tree-question" data-decision-tree-question-id="1311" data-decision-tree-question-position="1"> <div class="question-label"> <p>Based on the information you have provided, transactions would not be reportable.</p> <p>If you are still unsure, please email: <a href="/cdn-cgi/l/email-protection#f8958a8cb89e9b99d6978a9fd68d93"><span class="__cf_email__" data-cfemail="d6bba4a296b0b5b7f8b9a4b1f8a3bd">[email protected]</span></a></p> </div> <div class="question-answers"> <button class="fca-decision-tree-back btn btn-warning">Back</button> <ul class="question-answers__list"> </ul> </div> </div> <div class="decision-tree-question" data-decision-tree-question-id="1316" data-decision-tree-question-position="2"> <div class="question-label"> <p>Is the financial instrument admitted to trading or traded on a trading venue in the UK, EU or Gibraltar (or for which a request for admission has been made?)</p> </div> <div class="question-answers"> <button class="fca-decision-tree-back btn btn-warning">Back</button> <ul class="question-answers__list"> <li class="question-answers__item"> <div class="decision-tree-answer answer-2246" data-decision-tree-answer-id=2246 > <button class="answer-2246 btn btn-primary" data-decision-tree-answer-id=2246 data-decision-tree-next-question-id=1326> Yes </button> <div class="decision-tree-feedback"> </div> </div> </li><li class="question-answers__item"> <div class="decision-tree-answer answer-2251" data-decision-tree-answer-id=2251 > <button class="answer-2251 btn btn-primary" data-decision-tree-answer-id=2251 data-decision-tree-next-question-id=1321> No </button> <div class="decision-tree-feedback"> </div> </div> </li> </ul> </div> </div> <div class="decision-tree-question" data-decision-tree-question-id="1321" data-decision-tree-question-position="3"> <div class="question-label"> <p>Does the financial instrument have an underlying financial instrument traded on a UK, Gibraltarian or EU trading venue, or an underlying basket or index of instruments which includes one or more financial instruments traded on a UK, Gibraltarian or EU trading venue?</p> </div> <div class="question-answers"> <button class="fca-decision-tree-back btn btn-warning">Back</button> <ul class="question-answers__list"> <li class="question-answers__item"> <div class="decision-tree-answer answer-2256" data-decision-tree-answer-id=2256 > <button class="answer-2256 btn btn-primary" data-decision-tree-answer-id=2256 data-decision-tree-next-question-id=1331> Yes </button> <div class="decision-tree-feedback"> </div> </div> </li><li class="question-answers__item"> <div class="decision-tree-answer answer-2261" data-decision-tree-answer-id=2261 > <button class="answer-2261 btn btn-primary" data-decision-tree-answer-id=2261 data-decision-tree-next-question-id=1311> No </button> <div class="decision-tree-feedback"> </div> </div> </li> </ul> </div> </div> <div class="decision-tree-question" data-decision-tree-question-id="1326" data-decision-tree-question-position="4"> <div class="question-label"> <p>Based on the information you have provided, the transaction would be reportable under UK MIFIR Article 26(2)(a).</p> <p>If you are still unsure, please email: <a href="/cdn-cgi/l/email-protection#1f726d6b5f797c7e31706d78316a74"><span class="__cf_email__" data-cfemail="acc1ded8eccacfcd82c3decb82d9c7">[email protected]</span></a></p> </div> <div class="question-answers"> <button class="fca-decision-tree-back btn btn-warning">Back</button> <ul class="question-answers__list"> </ul> </div> </div> <div class="decision-tree-question" data-decision-tree-question-id="1331" data-decision-tree-question-position="5"> <div class="question-label"> <p>Based on the information you have provided; the transaction would be reportable under UK MIFIR Article 26(2)(b) or (c).</p> <p>If you are still unsure, please email: <a href="/cdn-cgi/l/email-protection#5c312e281c3a3f3d72332e3b722937"><span class="__cf_email__" data-cfemail="6f021d1b2f090c0e41001d08411a04">[email protected]</span></a></p> </div> <div class="question-answers"> <button class="fca-decision-tree-back btn btn-warning">Back</button> <ul class="question-answers__list"> </ul> </div> </div> <div id="decision-tree-feedback-135196"></div> </div> </div> </article> <div id="decision-tree-feedback"></div> </div> </div> <section class="copy-block fca-innovation"> <div class="container"> <p>The obligation to submit a transaction report applies irrespective of whether the transaction took place on a trading venue.</p> <p>UK investment firms have a responsibility to determine whether an instrument they have traded is a reportable financial instrument.</p> <p>RTS 22 Article 15(1)(g) and (h) require firms to have mechanisms in place to avoid reporting any transaction where there is no obligation to report, and to identify any unreported transactions for which there is an obligation to report.</p> </div> </section> <section id="section-reconciliation-of-transaction-reports" class="copy-block fca-innovation"> <div class="container"> <h2>Reconciliation of transaction reports</h2> <p>Article 15(3) of RTS 22 requires investment firms to ensure their transaction reports are complete and accurate.</p> <p>We expect investment firms to have processes to regularly reconcile their front-office records against data samples from our <a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="fe590513-fa57-421e-9ed7-4ba94f39e427" href="/markets/market-data-processor/mdp-entity-portal" title="Market Data Processor (MDP) entity portal">Market Data Processor (MDP) entity portal</a>.</p> </div> </section> <section id="section-submitting-errors-and-omissions-notifications" class="copy-block fca-innovation"> <div class="container"> <h2>Submitting errors and omissions notifications</h2> <p>An errors and omissions notification must be submitted via <a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="16d35457-ba40-4a51-b2a3-5c3605a0e7c5" href="/firms/connect" title="Connect">Connect</a> if your firm becomes aware of any error or omission in its transaction reports, including the failure to submit a transaction report.</p> <p>Notifications should be comprehensive, including adequate detail to facilitate our review of the incident. Subsequent updates to previously submitted notifications should be emailed to <a href="/cdn-cgi/l/email-protection#d4b9a6a094b2b7b5fabba6b3faa1bf"><span class="__cf_email__" data-cfemail="422f3036022421236c2d30256c3729">[email protected]</span></a> quoting your submission reference number.</p> <p>If your firm is not registered for Connect please see our <a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="d40d8653-9363-4b65-9647-710c311ed69f" href="/firms/connect/registration" title="Registration: Connect">Connect registration page</a>. If your firm is registered for Connect, and you require additional users, please refer to our <a data-entity-substitution="canonical" data-entity-type="media" data-entity-uuid="62ce7335-441d-4d19-88af-8be102a36116" href="/publication/publications/connect-managing-users-guide.pdf" title="connect-managing-users-guide.pdf">Connect user management guide</a>.</p> </div> </section> <section id="section-back-reporting" class="copy-block fca-innovation"> <div class="container"> <h2>Back reporting</h2> <p>Under Article 26(7) of UK MiFIR, where errors or omissions are identified in transaction reports, the ARM, investment firm or trading venue reporting the transaction must:</p> <ul> <li>cancel the report</li> <li>correct the information</li> <li>submit a corrected report to us</li> </ul> <p>The trade date within a transaction report cannot be earlier than 5 years before the submission date. As such, from 3 January 2023 onwards, transaction reports submitted with a trade date of more than 5 years ago will not be accepted.</p> <p>Errors and omissions notifications should continue to contain details of when the error or omission first occurred and the number of transaction reports impacted, even if this extends beyond 5 years. Firms should then indicate how many of the impacted transaction reports will be back reported.</p> </div> </section> <section class="expandable-content component fca-innovation"> <div class="nav nav-stacked component component--expandable" id="expandable1076576"> <div class="expandable panel component"> <a class="expandable-title collapsed" data-toggle="collapse" href="#expandable1076566" aria-expanded="false"> <p> Market Watch newsletter </p> </a> <div id="expandable1076566" class="collapse"> <div class="expandable-body copy-block"> <p>Our Market Watch newsletter covers market abuse risks, transaction reporting, instrument reference data, suspicious transaction and order reporting, and other market conduct issues. It can help regulated firms and other non-regulated market users understand more about these areas as well as highlighting relevant practices to consider.</p> <p><a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="76a45e52-dfb0-43d5-80b2-79882abc0c6a" href="/publications/newsletters/market-watch-74" title="Market Watch 74">Market Watch 74</a> highlights certain data quality issues identified by the Markets Reporting Team.</p> <p><a href="https://www.fca.org.uk/publications/search-results?p_search_term=market%20watch">See all editions of Market Watch</a></p> <p>To subscribe to our Market Watch newsletter, please email <a href="/cdn-cgi/l/email-protection#fb969a89909e8fd58c9a8f9893bb9d989ad594899cd58e90"><span class="__cf_email__" data-cfemail="543935263f31207a233520373c143237357a3b26337a213f">[email protected]</span></a> and request to be added to the distribution list.</p> </div> </div> </div> <div class="expandable panel component"> <a class="expandable-title collapsed" data-toggle="collapse" href="#expandable1076571" aria-expanded="false"> <p> Contact details </p> </a> <div id="expandable1076571" class="collapse"> <div class="expandable-body copy-block"> <p>Email: <a href="/cdn-cgi/l/email-protection#a5c8d7d1e5c3c6c48bcad7c28bd0ce"><span class="__cf_email__" data-cfemail="a0cdd2d4e0c6c3c18ecfd2c78ed5cb">[email protected]</span></a></p> </div> </div> </div> </div> </section> <div class="node_view"></div> <div id="revisions" class="page-revisions container"> <button class="h3 page-revisions__title" aria-expanded="false">Page updates</button> <div class="view view-page-update-revision-logs view-id-page_update_revision_logs view-display-id-revision_log js-view-dom-id-913281c8dca5be20c85f53a7eb60801e7dc7b104e7edbac726f022c8a4559500"> <div class="view-content"> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2024-11-14T15:06:05+00:00">14/11/2024</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Link added</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> transaction reporting resources page</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2024-10-04T14:29:38+01:00">04/10/2024</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Information changed</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> refresh of page content and layout</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2024-01-12T11:06:26+00:00">12/01/2024</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Information changed</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> Link to ESMA Q&A on MiFIR data updated</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2023-11-27T09:44:09+00:00">27/11/2023</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Link changed</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> Market Watch link</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2023-10-13T08:19:20+01:00">13/10/2023</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Link added</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> right hand navigation</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2023-06-29T15:26:19+01:00">29/06/2023</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Link added</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> to resource section </span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2022-12-21T11:00:48+00:00">21/12/2022</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Editorial amendment</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> Page layout updated</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2022-03-28T15:22:09+01:00">28/03/2022</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Information added</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> errors and omissions notifications section updated</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2022-01-13T11:57:17+00:00">13/01/2022</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Link added</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> Supervisory flexibility on the short selling indicator</span></span></div> <div class="views-row"><span class="views-field views-field-changed"><span class="field-content"><time datetime="2021-11-11T11:56:43+00:00">11/11/2021</time> : </span></span><span class="views-field views-field-fca-log"><strong class="field-content">Link changed</strong></span><span class="views-field views-field-revision-log"><span class="field-content"> removed old FSA link</span></span></div> </div> </div> <div class="page-revisions__migrated"> </div> </div> <div class="page-feedback container"> <form class="webform-submission-form webform-submission-add-form webform-submission-page-feedback-form-form webform-submission-page-feedback-form-add-form webform-submission-page-feedback-form-node-10921-form webform-submission-page-feedback-form-node-10921-add-form js-webform-details-toggle webform-details-toggle webform-client-form webform-client-form- feedback-form fca-custom-form webform-conditional-processed" data-drupal-selector="webform-submission-page-feedback-form-node-10921-add-form" novalidate="novalidate" action="/markets/transaction-reporting#webform-submission-page-feedback-form-node-10921-add-form" method="post" id="webform-submission-page-feedback-form-node-10921-add-form" accept-charset="UTF-8"> <fieldset data-drupal-selector="edit-radios" class="radios--wrapper fieldgroup form-composite webform-composite-visible-title js-webform-type-radios webform-type-radios js-form-item form-item js-form-wrapper form-wrapper" id="edit-radios--wrapper"> <legend id="edit-radios--wrapper-legend"> <span class="fieldset-legend">Was this page useful?</span> </legend> <div class="fieldset-wrapper"> <div id="edit-radios" class="js-webform-radios webform-options-display-side-by-side"><div class="form-item js-form-item form-type-radio js-form-type-radio form-item-radios js-form-item-radios radio"> <label for="edit-radios-yes" class="control-label option"><input data-drupal-selector="edit-radios-yes" class="form-radio" type="radio" id="edit-radios-yes" name="radios" value="Yes" /><span class="fca-custom-label">Yes </span></label> </div> <div class="form-item js-form-item form-type-radio js-form-type-radio form-item-radios js-form-item-radios radio"> <label for="edit-radios-no" class="control-label option"><input data-drupal-selector="edit-radios-no" class="form-radio" type="radio" id="edit-radios-no" name="radios" value="No" /><span class="fca-custom-label">No </span></label> </div> </div> </div> </fieldset> <div class="js-webform-states-hidden form-item js-form-item form-type-textarea js-form-type-textarea form-item-what-can-we-do-to-improve-pages-like-this- js-form-item-what-can-we-do-to-improve-pages-like-this- form-group"> <label for="edit-what-can-we-do-to-improve-pages-like-this-" class="control-label">What can we do to improve pages like this? </label> <div class="form-textarea-wrapper"> <textarea data-drupal-selector="edit-what-can-we-do-to-improve-pages-like-this-" class="form-textarea form-control resize-vertical" data-drupal-states="{"visible":{".webform-submission-page-feedback-form-node-10921-add-form :input[name=\u0022radios\u0022]":{"value":"No"}}}" id="edit-what-can-we-do-to-improve-pages-like-this-" name="what_can_we_do_to_improve_pages_like_this_" rows="5" cols="60"></textarea> </div> </div> <div class="js-webform-states-hidden form-item js-form-item form-type-textarea js-form-type-textarea form-item-what-did-you-find-helpful- js-form-item-what-did-you-find-helpful- form-group"> <label for="edit-what-did-you-find-helpful-" class="control-label">What did you find helpful?</label> <div class="form-textarea-wrapper"> <textarea data-drupal-selector="edit-what-did-you-find-helpful-" class="form-textarea form-control resize-vertical" data-drupal-states="{"visible":{".webform-submission-page-feedback-form-node-10921-add-form :input[name=\u0022radios\u0022]":{"value":"Yes"}}}" id="edit-what-did-you-find-helpful-" name="what_did_you_find_helpful_" rows="5" cols="60"></textarea> </div> </div> <input data-drupal-selector="edit-page-title" type="hidden" name="page_title" value="Transaction reporting" /><input data-drupal-selector="edit-page-url" type="hidden" name="page_url" value="https://www.fca.org.uk/markets/transaction-reporting " /><div class="js-webform-states-hidden form-actions webform-actions clearfix fca-form-submit form-group js-form-wrapper form-wrapper" data-drupal-selector="edit-actions" data-drupal-states="{"visible":{".webform-submission-page-feedback-form-node-10921-add-form :input[name=\u0022radios\u0022]":{"checked":true}}}" id="edit-actions"><button class="webform-button--submit button button--primary js-form-submit form-submit btn-primary btn" data-drupal-selector="edit-actions-submit" type="submit" id="edit-actions-submit" name="op" value="Submit Feedback">Submit Feedback</button> </div> <input data-drupal-selector="form-6ewbeghibb6x1lho0pbzynd6brx2cyotdr0t7c0c32u" type="hidden" name="form_build_id" value="form-6EWBEghIbb6x1lHo0PbZyND6BRx2CyOtDR0T7c0C32U" /><input data-drupal-selector="edit-webform-submission-page-feedback-form-node-10921-add-form" type="hidden" name="form_id" value="webform_submission_page_feedback_form_node_10921_add_form" /> <div class="hidden captcha captcha-type-challenge--recaptcha" data-drupal-selector="edit-captcha"> <div class="captcha__element"> <input data-drupal-selector="edit-captcha-sid" type="hidden" name="captcha_sid" value="416479086" /><input data-drupal-selector="edit-captcha-token" type="hidden" name="captcha_token" value="JoQWy2bq09tMPOB38oaMAtaxqMskqw7kWHp5LaJkMRo" /><input data-drupal-selector="edit-captcha-response" type="hidden" name="captcha_response" value="Google no captcha" /><div class="g-recaptcha" data-sitekey="6Le47iYpAAAAAKG4kzgfF0rSSqUn0ikhLYR739_7" data-theme="light" data-type="image"></div><input data-drupal-selector="edit-captcha-cacheable" type="hidden" name="captcha_cacheable" value="1" /> </div> </div> <div class="url_hp-textfield form-group js-form-wrapper form-wrapper" style="display: none !important;"><div class="form-item js-form-item form-type-textfield js-form-type-textfield form-item-url-hp js-form-item-url-hp form-group"> <label for="edit-url-hp" class="control-label">Leave this field blank</label> <input autocomplete="off" data-drupal-selector="edit-url-hp" class="form-text form-control" type="text" id="edit-url-hp" name="url_hp" value="" size="20" maxlength="128" /> </div> </div> </form> </div> </article> <div class="article-sidebar col-xs-12 col-sm-3 article-sidebar--markets article-sidebar--"> <div class="rhn article-sidebar__sticky" id="rhn"> <div class="header__social-links action-links"> <div class="row"> <div class="col-xs-6 col-md-4 col-lg-6 header__social-links--left header__social-links--left--mail"> <a id="printPageBtn" title="Print Page" aria-label="Print Page" href="/markets/transaction-reporting/printable/print" target="_blank" class="header__print-page print-ignore">Print Page</a> </div> <div class="col-xs-6 col-md-8 col-lg-6 header__social-links--left"> <div class="links list-inline article-actions-list"> <div class="service-links-linkedin article-action"> <a href="https://www.linkedin.com/sharing/share-offsite?mini=true&url=https%3A//www.fca.org.uk/markets/transaction-reporting&title=Transaction%20reporting&summary=&source=FCA" title="Publish this post to LinkedIn" aria-label="Publish this post to LinkedIn" class="service-links-linkedin sprites service-links w16 print-ignore" rel="nofollow" target="_blank"> <span class="sr-only">Linkedin</span> </a> </div> <div class="service-links-twitter article-action"> <a href="https://twitter.com/share?url=https%3A//www.fca.org.uk/markets/transaction-reporting&text=Transaction%20reporting&summary=&source=FCA" title="Share this on Twitter" aria-label="Share this on Twitter" class="service-links-twitter sprites service-links w16 print-ignore" rel="nofollow" target="_blank"> <span class="sr-only">Twitter</span> </a> </div> <div class="email_share last article-action"> <a href="/cdn-cgi/l/email-protection#b887ebcddad2dddbcc85eccad9d6cbd9dbccd1d7d69d8a88caddc8d7caccd1d6df9d8a88d9cc9d8a88fefbf99ed9d5c883fad7dcc185f19d8a88cbd9cf9d8a88ccd0d1cb9d8a88d7d69d8a88ccd0dd9d8a88fefbf99d8a88cfdddacbd1ccdd9d8a88d9d6dc9d8a88ccd0d7cddfd0cc9d8a88c1d7cd9d8a88d5d1dfd0cc9d8a88dadd9d8a88d1d6ccddcaddcbccdddc9d8a88d0ccccc8cb9d8bf99797cfcfcf96dedbd996d7cadf96cdd397d5d9cad3ddcccb97cccad9d6cbd9dbccd1d7d695caddc8d7caccd1d6df" title="Share with Email" aria-label="Share with Email" class="print_mail print-ignore" rel="nofollow"></a> </div> </div> <span class="header__social-share-txt" aria-hidden="true"> Share page </span> </div> </div> </div> <div class="rhn__on-this-page hidden-xs rhn__on-this-page--markets"> <h2 class="h3">On this page <img src="/themes/custom/fca/images/document-blue.svg" alt=""></h2> <ul class="nav navbar-nav"><li><a href="#section-who-needs-to-submit-a-transaction-report">Who needs to submit a transaction report</a></li><li><a href="#section-when-a-transaction-is-reportable">When a transaction is reportable</a></li><li><a href="#section-reconciliation-of-transaction-reports">Reconciliation of transaction reports</a></li><li><a href="#section-submitting-errors-and-omissions-notifications">Submitting errors and omissions notifications</a></li><li><a href="#section-back-reporting">Back reporting</a></li></ul> </div> <br> <div class="rhn__block"> <div class="rhn__header"> <h2 class="h5 rhn__header--title">In this section</h2> </div> <div class="view view-sidebar-in-this-section-published view-id-sidebar_in_this_section_published view-display-id-published"> <div class="rhn__items"> <div class="views-row"><div class="views-field views-field-nid"><span class="field-content"><div class="rhn__item"><a href="/markets/transaction-reporting/instrument-reference-data">Instrument reference data</a></div></span></div></div> <div class="views-row"><div class="views-field views-field-nid"><span class="field-content"><div class="rhn__item"><a href="/markets/transaction-reporting/resources">Transaction reporting resources</a></div></span></div></div> <div class="views-row"><div class="views-field views-field-nid"><span class="field-content"><div class="rhn__item"><a href="/markets/transaction-reporting/uk-mifir-data-reporting-libor-transition">UK MiFIR data reporting and LIBOR transition</a></div></span></div></div> </div> </div> <div class="rhn__hr" aria-hidden="true"></div> </div> <div class="rhn__block"> <div class="rhn__header"> <h2 class="h5"> <a class="rhn__header--collapse related-content__title rhn__header--title" role="button" data-toggle="collapse" href="#relatedContentCollapse" aria-expanded="true" aria-controls="relatedContentCollapse"> More information </a> </h2> </div> <div class="rhn__items rhn__items--linked collapse in" id="relatedContentCollapse"> <div class="related-content__item rhn__item first"> <a href="/news/statements/supervisory-flexibility-transaction-reporting">Supervisory flexibility on transaction reporting</a> </div> <div class="related-content__item rhn__item"> <a href="/news/statements/supervisory-flexibility-short-selling-indicator">Supervisory flexibility on the short selling indicator</a> </div> <div class="related-content__item rhn__item last"> <a href="/markets/market-abuse">Market abuse</a> </div> <div class="rhn__hr" aria-hidden="true"></div> </div> </div> <div class="rhn__block"> <div class="rhn__header"> <h2 class="h5"> <a class="rhn__header--collapse useful-resources__title rhn__header--title" role="button" data-toggle="collapse" href="#usefulResourcesCollapse" aria-expanded="false" aria-controls="usefulResourcesCollapse"> More on Market Data Processor (MDP) </a> </h2> </div> <div class="rhn__items rhn__items--linked collapse in" id="usefulResourcesCollapse" aria-expanded="false" role="tabpanel"> <div class="related-content__item rhn__item first"> <a href="/markets/market-data-processor">More on market data processor (MDP)</a> </div> <div class="related-content__item rhn__item last"> <a href="/markets/market-data-processor/mdp-entity-portal">Market Data Processor (MDP) entity portal </a> </div> <div class="rhn__hr" aria-hidden="true"></div> </div> </div> <div id="relatedContentBlock"> <section class="rhn-referenced-custom"> <div class="rhn__header"> <h2 class="h5"><span class="custom-block__title rhn__header--collapse rhn__header--title">Data reporting services providers regime</span></h2> </div> <div class="rhn__items custom-block__content"> <p><a href="/markets/data-reporting-services-providers-drsps">Data reporting services providers (DRSPs)</a></p> <div class="rhn__hr" aria-hidden="true"></div> </div> </section> </div> </div> </div> </div> </div> </div> </section> </div> <footer class="footer"> <div class="footer-main"> <div class="container"> <div class="row"> <div class="region region-footer"> <section id="block-menu-menu-onsite-links" class="block block-menu clearfix footer-main__column footer-main__column--no-title"> <ul class="menu nav"> <li class="leaf"> <a href="/accessibility">Accessibility</a> </li> <li class="leaf"> <a href="/about/how-we-operate/complain-about-regulators">Complain about us</a> </li> <li class="leaf"> <a href="/legal">Copyright notice</a> </li> <li class="leaf"> <a href="/about/how-we-operate/corporate-responsibility">Corporate responsibility</a> </li> <li class="leaf"> <a href="/about/cymraeg" lang="cy">Cymraeg</a> </li> <li class="leaf"> <a href="/freedom-information">Freedom of information</a> </li> <li class="leaf"> <a href="/about/how-we-operate/corporate-responsibility#section-modern-slavery-and-human-trafficking-statement">Modern Slavery and Human Trafficking Statement</a> </li> <li class="leaf"> <a href="/privacy">Privacy</a> </li> <li class="leaf"> <a href="/sitemap">Sitemap</a> </li> <li class="leaf"> <a href="/translated-pages">Translated languages</a> </li> </ul> </section> <section id="block-menu-menu-social" class="block block-menu contextual-links-region clearfix footer-main__column footer-main__column--social"> <h2 class="h3 block block-menu contextual-links-region footer-main__menu-title">Social</h2> <ul class="menu nav"> <li class="leaf social-footer-links__item social-footer-links__item--linkedin"> <a href="https://www.linkedin.com/company/financial-conduct-authority" aria-label="LinkedIn" title ="Publish this post to LinkedIn" class="linkedin" target="_blank" rel="noopener noreferrer"> <span class="visually-hidden">LinkedIn</span> <span class="social-footer-links__item__icon"></span> </a> </li> <li class="leaf social-footer-links__item social-footer-links__item--rss feed"> <a href="/news/rss.xml" aria-label="RSS Feed" title ="Subscribe to our RSS feed" class="rss feed" target="_blank" rel="noopener noreferrer"> <span class="visually-hidden">RSS Feed</span> <span class="social-footer-links__item__icon"></span> </a> </li> <li class="leaf social-footer-links__item social-footer-links__item--twitter"> <a href="https://twitter.com/thefca" aria-label="Twitter" title ="Share this on Twitter" class="twitter" target="_blank" rel="noopener noreferrer"> <span class="visually-hidden">Twitter</span> <span class="social-footer-links__item__icon"></span> </a> </li> </ul> </section> <section id="block-menu-menu-systems" class="block block-menu clearfix footer-main__column"> <h2 id="footerSystemsList" class="h3 block block-menu footer-main__menu-title"> <span class="footer-main__menu-title-desktop">Registers and Systems</span> <a class="overlay-link collapsed" role="button" data-toggle="collapse" href="#footerSystems" aria-expanded="false" aria-controls="footerSystems">Registers and Systems</a> <span class="hidden-md hidden-lg footer-section-collapse" aria-hidden="true"></span> </h2> <div id="footerSystems" class="collapse"> <ul class="menu nav"> <li class="leaf"> <a href="/firms/connect">Connect</a> </li> <li class="leaf"> <a href="/about/how-we-regulate/handbook">FCA Handbook</a> </li> <li class="leaf"> <a href="/firms/financial-services-register">Financial Services Register</a> </li> <li class="leaf"> <a href="/firms/regdata">RegData</a> </li> </ul> </div> </section> <section id="block-menu-menu-careers" class="block block-menu clearfix footer-main__column"> <h2 id="carrersList" class="h3 block block-menu footer-main__menu-title"> <span class="footer-main__menu-title-desktop">Careers</span> <a class="overlay-link collapsed" role="button" data-toggle="collapse" href="#footerCareers" aria-expanded="false" aria-controls="footerCareers">Careers</a> <span class="hidden-md hidden-lg footer-section-collapse" aria-hidden="true"></span> </h2> <div id="footerCareers" class="collapse"> <ul class="menu nav"> <li class="leaf"> <a href="/careers">Careers home</a> </li> <li class="leaf"> <a href="/careers/early-careers">Early careers</a> </li> <li class="leaf"> <a href="/careers/experienced-professionals">Experienced professionals</a> </li> </ul> </div> </section> <section id="block-block-1" class="block block-block clearfix footer-main__column"> <h2 id="contactInfo" class="h3 block block-block footer-main__menu-title"> <span class="footer-main__menu-title-desktop">Contact</span> <a class="overlay-link collapsed" role="button" data-toggle="collapse" href="#footerContact" aria-expanded="false" aria-controls="footerContact">Contact</a> <span class="hidden-md hidden-lg footer-section-collapse" aria-hidden="true"></span> </h2> <div id="footerContact" class="footer-main__content-wrapper collapse"> <p>FCA Head Office</p> <p>12 Endeavour Square</p> <p>London E20 1JN</p> <p><a class="btn btn-primary" href="/contact">Contact us</a></p> </div> </section> </div> </div> <div class="footer__plain-text-logo"> <a href="https://www.clearest.co.uk/gold-standard" title="Plain Language Commission. Clear English Gold Standard Award logo" class="" target="_blank"> <span class="visually-hidden">Plain Language Commission Gold Award</span> <img class="plain-text-logo__img" src="/themes/custom/fca/images/PLC_CES_GOLD.png" alt="Plain Language Commission. Clear English Gold Standard Award logo" width="62" height="79"> </a> </div> </div> </div> <div class="footer-bottom"> <div class="container"> <div class="row"> <div class="col-xs-8 col-sm-4 footer-bottom__column"> <p class="footer-bottom__copyright">Copyright © 2024 FCA. All rights reserved.</p> </div> <div class="col-xs-4 col-sm-4 footer-bottom__column"> <div class="footer-bottom__back-to-top"> <a href="#"> <span class="glyphicon glyphicon-menu-up" aria-hidden="true"></span> <p>Back to top</p> </a> </div> </div> <div class="col-xs-12 col-sm-4 footer-bottom__column"> <p class="footer-bottom__company-number">Company no. 01920623</p> </div> </div> </div> </div> </footer> </div> <script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script><script type="text/javascript">window.NREUM||(NREUM={});NREUM.info={"beacon":"bam.nr-data.net","licenseKey":"1bdb6f7fb8","applicationID":"1114563801","transactionName":"M11RYUQDWUVTVEcPDAoXcEBFFlhbHVJdEgoQQR1bWQZSGFFWXQkNDVtSWQwPVkRZUkcV","queueTime":12,"applicationTime":2224,"atts":"HxpGFwwZShoQVhFcGBlF","errorBeacon":"bam.nr-data.net","agent":""}</script> <script type="application/json" data-drupal-selector="drupal-settings-json">{"path":{"baseUrl":"\/","pathPrefix":"","currentPath":"node\/10921","currentPathIsAdmin":false,"isFront":false,"currentLanguage":"en"},"pluralDelimiter":"\u0003","suppressDeprecationErrors":true,"multiselect":{"widths":250},"selection_sharer":{"jquery_selectors":[".node-publication-longform div",".node-publication-longform h1",".node-publication-longform h2",".node-publication-longform h3",".node-publication-longform h4",".node-publication-longform h5",".node-publication-longform h6",".node-publication-longform p"]},"data":{"extlink":{"extTarget":true,"extTargetNoOverride":false,"extNofollow":false,"extNoreferrer":false,"extFollowNoOverride":false,"extClass":"ext","extLabel":"(link is external)","extImgClass":false,"extSubdomains":false,"extExclude":"(fca\\.org\\.uk)|(fsa\\.gov\\.uk)|(fcatest\\.org\\.uk)","extInclude":"","extCssExclude":"","extCssExplicit":"","extAlert":false,"extAlertText":"This link will take you to an external web site. We are not responsible for their content.","mailtoClass":"0","mailtoLabel":"(link sends email)","extUseFontAwesome":false,"extIconPlacement":"append","extFaLinkClasses":"fa fa-external-link","extFaMailtoClasses":"fa fa-envelope-o","whitelistedDomains":null}},"eu_cookie_compliance":{"cookie_policy_version":"1.0.0","popup_enabled":true,"popup_agreed_enabled":false,"popup_hide_agreed":true,"popup_clicking_confirmation":false,"popup_scrolling_confirmation":false,"popup_html_info":"\u003Cdiv role=\u0022dialog\u0022 id=\u0022cookiepopup\u0022 title=\u0022Cookie popup\u0022 class=\u0022eu-cookie-compliance-banner eu-cookie-compliance-banner-info eu-cookie-compliance-banner--categories\u0022\u003E\n \u003Cdiv class=\u0022popup-content info\u0022\u003E\n \u003Cdiv class=\u0022popup-text\u0022\u003E\n \u003Cp\u003EWe use cookies to improve your online experience. Some cookies are necessary to make the site work. We\u2019d like to set additional cookies to understand how the website is used. These are optional. All cookie data is anonymised. View \u003Ca data-entity-substitution=\u0022canonical\u0022 data-entity-type=\u0022node\u0022 data-entity-uuid=\u0022e112e960-2a79-48ce-9cd3-8537356a784a\u0022 href=\u0022\/privacy\/our-use-cookies\u0022 title=\u0022Our use of cookies\u0022\u003Ecookies\u003C\/a\u003E.\u003C\/p\u003E\n\n \u003C\/div\u003E\n \u003Cul id=\u0022eu-cookie-compliance-categories\u0022 class=\u0022eu-cookie-compliance-categories list-inline list-unstyled hidden\u0022\u003E\n \u003Cli class=\u0022eu-cookie-compliance-category\u0022\u003E\n \u003Cdiv\u003E\n \u003Cinput type=\u0022checkbox\u0022 name=\u0022cookie-categories\u0022 id=\u0022cookie-category-functional\u0022\n value=\u0022functional\u0022 \u003E\n \u003Clabel for=\u0022cookie-category-functional\u0022\u003EFunctional\u003C\/label\u003E\n \u003C\/div\u003E\n\n \u003Cdiv class=\u0022eu-cookie-compliance-category-description\u0022\u003EThese cookies are necessary for the operation of the FCA.org.uk web site\u003C\/div\u003E\n \u003C\/li\u003E\n \u003Cli class=\u0022eu-cookie-compliance-category\u0022\u003E\n \u003Cdiv\u003E\n \u003Cinput type=\u0022checkbox\u0022 name=\u0022cookie-categories\u0022 id=\u0022cookie-category-tracking_ad\u0022\n value=\u0022tracking_ad\u0022 \u003E\n \u003Clabel for=\u0022cookie-category-tracking_ad\u0022\u003ENon-functional\u003C\/label\u003E\n \u003C\/div\u003E\n\n \u003Cdiv class=\u0022eu-cookie-compliance-category-description\u0022\u003EAccept analytics and campaign advertising cookies\u003C\/div\u003E\n \u003C\/li\u003E\n \u003C\/ul\u003E\n \u003Cdiv class=\u0022eu-cookie-compliance-category-fca-custom\u0022\u003E\n \u003Cbutton type=\u0022button\u0022 class=\u0022btn agree\u0022\u003EAccept additional cookies\u003C\/button\u003E\n \u003Cbutton type=\u0022button\u0022 class=\u0022btn dont-agree\u0022\u003EReject additional cookies\u003C\/button\u003E\n \u003C\/div\u003E\n \u003C\/div\u003E\n\u003C\/div\u003E","use_mobile_message":false,"mobile_popup_html_info":"\u003Cdiv role=\u0022dialog\u0022 id=\u0022cookiepopup\u0022 title=\u0022Cookie popup\u0022 class=\u0022eu-cookie-compliance-banner eu-cookie-compliance-banner-info eu-cookie-compliance-banner--categories\u0022\u003E\n \u003Cdiv class=\u0022popup-content info\u0022\u003E\n \u003Cdiv class=\u0022popup-text\u0022\u003E\n \n \u003C\/div\u003E\n \u003Cul id=\u0022eu-cookie-compliance-categories\u0022 class=\u0022eu-cookie-compliance-categories list-inline list-unstyled hidden\u0022\u003E\n \u003Cli class=\u0022eu-cookie-compliance-category\u0022\u003E\n \u003Cdiv\u003E\n \u003Cinput type=\u0022checkbox\u0022 name=\u0022cookie-categories\u0022 id=\u0022cookie-category-functional\u0022\n value=\u0022functional\u0022 \u003E\n \u003Clabel for=\u0022cookie-category-functional\u0022\u003EFunctional\u003C\/label\u003E\n \u003C\/div\u003E\n\n \u003Cdiv class=\u0022eu-cookie-compliance-category-description\u0022\u003EThese cookies are necessary for the operation of the FCA.org.uk web site\u003C\/div\u003E\n \u003C\/li\u003E\n \u003Cli class=\u0022eu-cookie-compliance-category\u0022\u003E\n \u003Cdiv\u003E\n \u003Cinput type=\u0022checkbox\u0022 name=\u0022cookie-categories\u0022 id=\u0022cookie-category-tracking_ad\u0022\n value=\u0022tracking_ad\u0022 \u003E\n \u003Clabel for=\u0022cookie-category-tracking_ad\u0022\u003ENon-functional\u003C\/label\u003E\n \u003C\/div\u003E\n\n \u003Cdiv class=\u0022eu-cookie-compliance-category-description\u0022\u003EAccept analytics and campaign advertising cookies\u003C\/div\u003E\n \u003C\/li\u003E\n \u003C\/ul\u003E\n \u003Cdiv class=\u0022eu-cookie-compliance-category-fca-custom\u0022\u003E\n \u003Cbutton type=\u0022button\u0022 class=\u0022btn agree\u0022\u003EAccept additional cookies\u003C\/button\u003E\n \u003Cbutton type=\u0022button\u0022 class=\u0022btn dont-agree\u0022\u003EReject additional cookies\u003C\/button\u003E\n \u003C\/div\u003E\n \u003C\/div\u003E\n\u003C\/div\u003E","mobile_breakpoint":768,"popup_html_agreed":false,"popup_use_bare_css":false,"popup_height":"auto","popup_width":"100%","popup_delay":0,"popup_link":"\/privacy","popup_link_new_window":true,"popup_position":true,"fixed_top_position":true,"popup_language":"en","store_consent":true,"better_support_for_screen_readers":false,"cookie_name":"fca-cookie-agreed","reload_page":false,"domain":"","domain_all_sites":true,"popup_eu_only":false,"popup_eu_only_js":false,"cookie_lifetime":100,"cookie_session":0,"set_cookie_session_zero_on_disagree":0,"disagree_do_not_show_popup":false,"method":"categories","automatic_cookies_removal":true,"allowed_cookies":"","withdraw_markup":"\u003Cbutton type=\u0022button\u0022 class=\u0022eu-cookie-withdraw-tab\u0022\u003EPrivacy settings\u003C\/button\u003E\n\u003Cdiv aria-labelledby=\u0022popup-text\u0022 class=\u0022eu-cookie-withdraw-banner\u0022\u003E\n \u003Cdiv class=\u0022popup-content info eu-cookie-compliance-content\u0022\u003E\n \u003Cdiv id=\u0022popup-text\u0022 class=\u0022eu-cookie-compliance-message\u0022 role=\u0022document\u0022\u003E\n \u003Ch2\u003EWe use cookies on this site to enhance your user experience\u003C\/h2\u003E\n\u003Cp\u003EYou have given your consent for us to set cookies.\u003C\/p\u003E\n\n \u003C\/div\u003E\n \u003Cdiv id=\u0022popup-buttons\u0022 class=\u0022eu-cookie-compliance-buttons\u0022\u003E\n \u003Cbutton type=\u0022button\u0022 class=\u0022eu-cookie-withdraw-button \u0022\u003EWithdraw consent\u003C\/button\u003E\n \u003C\/div\u003E\n \u003C\/div\u003E\n\u003C\/div\u003E","withdraw_enabled":false,"reload_options":null,"reload_routes_list":"","withdraw_button_on_info_popup":false,"cookie_categories":["functional","tracking_ad"],"cookie_categories_details":{"functional":{"uuid":"fb668dca-4dd1-4440-a59b-c9d1e9fadac3","langcode":"en","status":true,"dependencies":[],"_core":{"default_config_hash":"D36tcirS9rFdab-vbBsKvs8J4M5hJ92XFL2hzdzE49I"},"id":"functional","label":"Functional","description":"These cookies are necessary for the operation of the FCA.org.uk web site","checkbox_default_state":"required","weight":-9},"tracking_ad":{"uuid":"5465d273-1c80-4a6e-aad2-dbba16b67955","langcode":"en","status":true,"dependencies":[],"_core":{"default_config_hash":"PgmYhbjZvqPNFf00v-fm0sr1Osx9rNtzn--g1g1ILtI"},"id":"tracking_ad","label":"Non-functional","description":"Accept analytics and campaign advertising cookies","checkbox_default_state":"unchecked","weight":-8}},"enable_save_preferences_button":true,"cookie_value_disagreed":"0","cookie_value_agreed_show_thank_you":"1","cookie_value_agreed":"2","containing_element":"body","settings_tab_enabled":false,"olivero_primary_button_classes":"","olivero_secondary_button_classes":"","close_button_action":"close_banner","open_by_default":true,"modules_allow_popup":true,"hide_the_banner":false,"geoip_match":true},"simpleautologout":{"popup":1500000},"bootstrap":{"forms_has_error_value_toggle":1,"modal_animation":1,"modal_backdrop":"true","modal_focus_input":1,"modal_keyboard":1,"modal_select_text":1,"modal_show":1,"modal_size":"","popover_enabled":1,"popover_animation":1,"popover_auto_close":1,"popover_container":"body","popover_content":"","popover_delay":"0","popover_html":0,"popover_placement":"right","popover_selector":"","popover_title":"","popover_trigger":"click"},"ajaxTrustedUrl":{"form_action_p_pvdeGsVG5zNF_XLGPTvYSKCf43t8qZYSwcfZl2uzM#webform-submission-page-feedback-form-node-10921-add-form":true,"form_action_p_pvdeGsVG5zNF_XLGPTvYSKCf43t8qZYSwcfZl2uzM":true},"question_total":6,"question_order":{"1306":0,"1311":1,"1316":2,"1321":3,"1326":4,"1331":5},"fcaFunnelback":{"funnelbackCollection":"fcauk~sp-push-prod","profiles":{"header":"investsmart"}},"disable_all_popups":1,"global_popup":{"popup_global_enabled":1,"popup_global_title":"Global popup banner test","popup_global_text":"\u003Cp\u003Etest content\u0026nbsp;test content\u0026nbsp;test content\u0026nbsp;test content\u0026nbsp;test content\u0026nbsp;test content\u0026nbsp;test content.\u003C\/p\u003E\r\n","popup_config_button":"Continue"},"ckeditor5Premium":{"isMediaInstalled":true},"user":{"uid":0,"permissionsHash":"6f6109d1fc5d7d0e28d845bee4f04c752dd4edba77c644ed82733edde817fbbe"}}</script> <script src="/sites/default/files/js/js_2vY6qqlB8YhKGr2s_OT0SoJiXQ4E4gD0T5hCZ27VO_4.js?scope=footer&delta=0&language=en&theme=fca&include=eJyVkVFuxCAMBS9EwpGQQ15IFMAIm2339k3QdtuqWVX9wTA8GRgEEV43zk5WqqhWPsHQwWwWTzZEnigOove45WDwrkfd7VxboTg-lgbNeeZ9w1FSiRtlD3sFzcSsopWKLVz4htpP0RUJo_jKMUq5mzdMC9dkH3U8h1_wuG5C1nGG0hZlFLrhz5ByCPF1LEGEAkyFp6J-JfucfWOB-WgyPoFDftmRy6lU-jNn-E1O41qBk7il5Yw4kd_t13SgptydQXvM_ow6AVW_um7l3DpUti60lWGiI9atXnzJJf1P1gVNH4hF3m4"></script> <script src="/modules/contrib/eu_cookie_compliance/js/eu_cookie_compliance.min.js?v=10.3.9" defer></script> <script src="/themes/custom/fca/assets/js/fca-cookie-patch.min.js?snrt07" defer></script> <script src="/sites/default/files/js/js_Tnyd2J9pOellg3g-i8tDsxB3qp4Z4f9RdVznoQkOCvA.js?scope=footer&delta=3&language=en&theme=fca&include=eJyVkVFuxCAMBS9EwpGQQ15IFMAIm2339k3QdtuqWVX9wTA8GRgEEV43zk5WqqhWPsHQwWwWTzZEnigOove45WDwrkfd7VxboTg-lgbNeeZ9w1FSiRtlD3sFzcSsopWKLVz4htpP0RUJo_jKMUq5mzdMC9dkH3U8h1_wuG5C1nGG0hZlFLrhz5ByCPF1LEGEAkyFp6J-JfucfWOB-WgyPoFDftmRy6lU-jNn-E1O41qBk7il5Yw4kd_t13SgptydQXvM_ow6AVW_um7l3DpUti60lWGiI9atXnzJJf1P1gVNH4hF3m4"></script> <script src="//code.jquery.com/ui/1.11.4/jquery-ui.min.js"></script> <script src="/sites/default/files/js/js_HFLW_3cv6opV4NgX4gLFc923GyUm962qeyuyvxafTAM.js?scope=footer&delta=5&language=en&theme=fca&include=eJyVkVFuxCAMBS9EwpGQQ15IFMAIm2339k3QdtuqWVX9wTA8GRgEEV43zk5WqqhWPsHQwWwWTzZEnigOove45WDwrkfd7VxboTg-lgbNeeZ9w1FSiRtlD3sFzcSsopWKLVz4htpP0RUJo_jKMUq5mzdMC9dkH3U8h1_wuG5C1nGG0hZlFLrhz5ByCPF1LEGEAkyFp6J-JfucfWOB-WgyPoFDftmRy6lU-jNn-E1O41qBk7il5Yw4kd_t13SgptydQXvM_ow6AVW_um7l3DpUti60lWGiI9atXnzJJf1P1gVNH4hF3m4"></script> </body> </html>

CINXE.COM

Transaction reporting | FCA