Transaction Reporting Cheat Sheet
Key Takeaways
Qomply's Transaction Reporting Cheat Sheet includes free tools and resources for common reporting pain points such as:
- Determining whether an ISIN is reportable under MiFID II/MiFIR transaction reporting
- Finding reportable ISINs using descriptive instrument fields
- Finding a UPI where an ISIN is available to ensure accurate reporting in regimes such as CFTC
- Understanding and resolving the top RTS 22 error (CON-412)
- Accurate reporting of venue field: XOFF vs XXXX
- As well as supporting resources and tools
Transaction reporting is complex, data-intensive, and highly scrutinised by regulators. Firms are expected to ensure not only completeness but also accuracy across multiple data fields, identifiers, and reporting rules.
Qomply’s Transaction Reporting Cheat Sheet is designed as a practical, hands-on resource to help compliance and operations teams navigate common reporting challenges. It brings together:
- Determining whether an ISIN is reportable under MiFID II/MiFIR transaction reporting
- Finding reportable ISINs using descriptive instrument fields
- Finding a UPI where an ISIN is available to support reporting in regimes such as CFTC
- Converting MiFID XML files into CSV
- Finding a reportable ISIN where a UPI is available (MiFID II & EMIR)
- Reporting aggregated orders using the INTC convention
- Meeting the requirements for reconciliation under Article 15 of RTS 22
- Effective governance over trade & transaction reporting
- Understanding and resolving the top RTS 22 error (CON-412)
- Common rejections in EMIR Refit reporting
- Reporting appropriate price & quantity notations
- Accurate reporting of venue fields such as XOFF vs XXXX
It also includes supporting resources and tools:
- Free Tool: MiFID II Reporting Checker
- Free Tool: ISIN Quest
- Free Tool: UPI Finder
- Free Tool: MDP XML to CSV Converter
- Free Tool: ISIN Finder
- Blog: Understanding the use of INTC for Aggregated Client Accounts
How Qomply can help
Qomply’s Regulatory Reporting Hub combines regulatory expertise with AI, automation and data analytics to deliver scalable, audit-ready reporting intelligence that reduces errors, lowers remediation costs, and minimises operational and regulatory risk.
Covering regimes including MiFIR, EMIR Refit, SFTR, CFTC, CSA, MAS, ASIC and HKMA, Qomply also offers a fully managed service and operates globally from London.
Purpose-built solutions and services for regulatory reporting
Designed to improve accuracy, reduce risk, and support confident transaction reporting.
