Explore our insights
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InsightsCommon Data Issues: Why Excel Causes Issues with CSV Files in Regulatory Submissions
Learn how CSV formatting issues in Excel cause rejected regulatory submissions, reconciliation breaks and data validation failures, and how firms can fix this.
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InsightsWhy Technology is Redefining Transaction Reporting Reconciliations
Discover how modern technology is redefining transaction reporting reconciliations with real-time matching, anomaly detection and improved regulatory oversight.
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InsightsGlobal Transaction Reporting Rewrites Are Forcing Industry Modernisation
Global transaction reporting rewrites across APAC, Europe and North America are driving standardisation, automation and demand for scalable reporting solutions.
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InsightsASIC Transaction Reporting: The 30-Day Reconciliation Blind Spots
ASIC’s 30-day reconciliation rule under RG 251 is often missed, creating blind spots in reporting. Learn how to detect errors, open positions, and reduce risk.
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InsightsThe UK MiFID Rewrite: FCA Predicts Savings. Industry Remains Skeptical
The FCA's CP25/32 UK MiFID rewrite promises 25% transaction reporting savings. Qomply poll shows firms are skeptical due to change, IT and interpretation costs.
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InsightsCommon Regulatory Reporting Failures Across Regions
Across CFTC, FCA, ASIC, CSA, MAS and HKMA/HKTR, regulators repeatedly flag the same reporting failures: missing submissions, inaccurate data, late reporting.
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InsightsFCA MiFIR Fines Explained: Lessons From Recent Transaction Reporting Enforcement
Former FCA regulator Sophia Fulugunya explains FCA's recent MiFIR transaction reporting finesand practical lessons compliance teams must act on.
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InsightsQomply Survey 2026: 90% Support FCA MiFID Reform (CP25/32)
Qomply's 2026 industry survey reveals that 90% of firms expect the FCA's proposed UK MiFID transaction reporting reforms (CP25/32) to reduce reporting costs.
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InsightsCFTC Dead Swap Relief Impact on Firms: Relieves Burden, Shifts Focus to Data Quality & Reconciliation
CFTC dead swap relief reduces historical corrections, but scrutiny is shifting to open swaps and recent data quality. Learn why reconciliation matters.
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InsightsSilent Errors in MiFID Transaction Reports: Why Reconciliation Matters
MiFID transaction report reconciliation guidance: how to detect silent errors, validate completeness and accuracy, and meet FCA expectations under MiFIR RTS 22.
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InsightsFCA CP25/32: Proposed Changes to UK MiFID Transaction Reporting
Summary of FCA CP25/32 proposals to reform UK MiFID transaction reporting: scope changes, reduced back-reporting, and simplified derivatives reporting.
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InsightsKey Takeaways From FCA Market Watch 84: UK EMIR Refit One Year On
FCA Market Watch 84 is the first Market Watch dedicated to UK EMIR Refit. Key takeaways one year after go-live: governance, third-party oversight, breach.
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InsightsThe Future of Trade & Transaction Reporting | Key Takeaways From the Panel Discussion
Key takeaways from Qomply, ISDA & IA panel on future of transaction reporting, covering data-driven regulation, divergence, RegTech, and enforcement trends.
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InsightsEMIR Refit: ESMA Data Quality Report - Key Messages and Findings
ESMA's EMIR Refit data quality report highlights persistent issues across outstanding trades, outstanding positions, missing valuations and outdated.
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InsightsGovernance Matters: FCA’s Latest Warning in Market Watch 83
FCA Market Watch 83 highlights governance weaknesses such as unclear accountability, ineffective systems and controls, insufficient training, weak escalation.
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InsightsFCA Market Watch 82: Key Takeaways for MiFID Transaction Reporting
Key takeaways from FCA Market Watch 82: expectations for remedial timelines, back reporting of errors, and high-quality errors & omissions notifications.
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InsightsFCA Issues MiFIR Fine to Sigma Broking for £1.087m
The FCA fined Sigma Broking £1.1m for nearly one million inaccurate MiFIR transaction reports. Learn what went wrong and the key compliance lessons for firms.
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InsightsFCA Strategy 2025–2030: What “Being a Smarter Regulator” Really Means for Firms
The FCA Strategy 2025–2030 signals a shift to a more proactive, data-led regulator. Learn the key priorities and what firms must do to strengthen governance, controls and compliance frameworks
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InsightsFCA Strategy 2025–2030: the FCA's Balancing Act on Growth
Recently, the FCA released their Strategy 2025 – 2030 publication and this article explores its 'Supporting Growth' priority.
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InsightsWhen AI Fails & Why Compliance Still Needs Human Expertise
The risks of relying on AI in regulatory compliance and why human expertise remains essential to ensure accuracy, accountability, and effective risk management.
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InsightsFCA Issues First UK MiFIR (RTS 22) Fine for Transaction Reporting Failures
The FCA’s first MiFIR fine highlights the risks of poor transaction reporting, weak controls, and failure to self-report. Key lessons for compliance teams.
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InsightsEMIR Refit: Reporting Underlying Assets: Reference Entities vs Underlying Identifiers
Mis-population of the underlying identification fields versus the reference entity field is a common driver of TR rejects and reconciliation breaks.
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InsightsAvoiding Common Pitfalls in Reporting OTC Transactions for SI-Traded Instruments
Avoid common MiFIR OTC transaction reporting pitfalls for SI-traded instruments. Learn how to improve FIRDS checks, validate ToTV underlying, and prevent.
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InsightsMiFID II Compliance: Same Buyer and Seller Reporting Explained
Learn when the same buyer and seller can appear in MiFID transaction reports, including delegated discretionary mandates.
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InsightsESMA MiFIR Review: Key Proposals & Dates
ESMA has issued its fourth MiFIR Review consultation package with a focus on amended RTS 22 transaction reporting.
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InsightsTop EMIR Refit Rejections
Qomply shares the top rejections for EMIR Refit in the UK. Unsurprisingly, many of these rejections are associated with lifecycle events.
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InsightsInsights: ESMA Announces Changes to MiFID Transaction Reporting
Last week, ESMA formally announced significant revisions to the MiFIR reporting framework that will impact MIFID investment firms.
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InsightsMiFID II INTC Aggregated Client Account Reporting
INTC is the MiFID II convention for reporting aggregated client orders. Learn regulator expectations, common allocation mistakes, and validation controls to.
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InsightsMiFID Back Reporting Remediation: ARM vs Direct Reporting Guide
Compare MiFID back-reporting remediation options, incl. ARM providers and direct reporting, to reduce costs, improve efficiency, and manage risk effectively.
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InsightsMiFID II: Direct Transaction Reporting to the FCA FAQs
FAQs on reporting MiFID II transaction reports directly to the FCA (instead of using an ARM): eligibility under MiFIR Article 26(7), costs, controls.
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InsightsMiFID Transaction Reporting Governance: Traceability & Accountability
Good transaction reporting governance depends on accountability and traceability.
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InsightsMiFID Price & Quantity Notation: Prevent Market Watch 74 Silent Errors
Learn how incorrect price and quantity notation creates silent MiFID reporting errors under FCA MarketWatch 74, and how to improve data quality.
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InsightsEMIR Refit: TONA Index Recognition - UK FCA Vs EU ESMA Validation Differences
Understand how TONA is treated under EMIR Refit in the UK vs EU. Learn key validation differences, impacted fields, and how to avoid reporting errors.
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InsightsEMIR Refit Gotcha: Use MIC Codes for Third-Country Venues (Not XOFF)
Under EMIR Refit, OTC trades on third-country venues still require MIC codes, not XOFF. Learn the rule, avoid validation errors, and fix reporting logic.
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InsightsEMIR Refit Report Tracking Number: Timeliness & Best Practice
EMIR Refit RTNs (Report Tracking Numbers) are execution-level identifiers disseminated by venues. Learn RTN timeliness expectations, when
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InsightsEMIR Refit Reporting: FX Swaps Should Be Reported As One Transaction
FX swaps must be reported as a single trade under EMIR Refit, not split like MiFIR. Avoid data breaks, rejects, and reconciliation issues with correct logic.
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InsightsMiFID MDP XML to CSV File Converter
Free MiFID MDP XML to CSV converter. Turn regulator MDP XML output into spreadsheet-ready CSV in seconds to support review, QA and investigations.
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InsightsEMIR Refit Gotcha: Client Codes Should Not Contain Personal Data
Under EMIR Refit, client codes must be unique to the reporting counterparty and must not contain personal data.
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InsightsEMIR Refit: Top 5 Challenges for Regulated Firms
EMIR Refit increases reporting scope, introduces new XML workflows and expands reconciliation requirements.
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InsightsFive Reasons to Reconcile MiFID Transaction Reports
Five reasons to reconcile MiFID transaction reports: meet RTS 22 obligations, detect over- and under-reporting, improve controls, and prevent recurring data.
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InsightsMiFID Client Static Data Mapping | Prevent Silent Errors in MiFID
Client static data mapping errors can create silent MiFID reporting issues, including incorrect LEIs, mismapped entities, and lapsed identifiers.
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InsightsMiFID Trading Time Precision: Milliseconds Vs Microseconds | Prevent Silent Errors in MiFID
MiFID transaction reporting guidance on trading time precision. Learn when to report in microseconds vs milliseconds vs seconds, and how incorrect granularity.
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InsightsMiFID Duplicate Trades: When Transaction IDs Create Silent Errors
Duplicate trades in MiFID reporting can occur even with unique transaction IDs. Learn the causes and how to detect and prevent these silent errors.
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InsightsMiFID Late Submissions | Prevent Silent Errors in MiFID
How MiFID transaction reports slip past T+1 deadlines on bank holidays and during staff leave.
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InsightsMiFID Block Vs Fill Reporting: FCA Market Watch Expectations
A practical guide to MiFID block vs fill reporting. Align with FCA Market Watch expectations and ensure accurate transaction reporting decisions.
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InsightsMiFID TVTIC Data Quality: Structure and Validity (RTS 22 Field 3)
A practical guide to MiFID TVTIC Field 3. Improve structure validity, meet regulatory checks, and reduce transaction reporting errors.
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InsightsMiFID Internal Allocations (INTC) & Block Trades: Troubleshooting Guide
A practical guide to MiFID INTC reporting and block trades. Understand allocation rules, avoid common breaks, and improve reconciliation accuracy.
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InsightsMiFID Field 28: Trading Date/Time for Corporate Actions and Corporate Events
A practical guide to MiFID Field 28 reporting. Understand corporate event timing, ESMA expectations, and how to avoid common transaction reporting mistakes
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InsightsMiFID Country Fields (Fields 37, 8, 17, 58, 60): Avoid Common Reporting Pitfalls
A practical guide to MiFID country fields. Get Fields 37, 8, 17, 58 and 60 right with clear rules, examples, and common pitfalls explained.
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InsightsMiFID XXXX Vs XOFF for OTC Trades: RTS 22 Trading Venue Guide
Step-by-step guide to populate the MiFID ‘Trading Venue’ field for OTC trades: when to use XOFF vs XXXX under RTS 22 (UK FCA vs EU NCA), with practical.
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InsightsResolving CON-412: Instrument Not Valid in FIRDS Reference Data
What does the MiFID CON-412 FIRDS error means, why it occurs when an ISIN is missing from reference data, and how firms can troubleshoot reportability.
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InsightsImportant Findings From FCA Market Watches 59, 62 and 65
Discover key findings from FCA Market Watch 59, 62 and 65, including common MiFID reporting failures in controls, data quality, and reconciliation.
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InsightsKey Takeaways from FCA Market Watch 65
Key findings from FCA Market Watch 65. Learn how firms misinterpret MiFID reportability, misuse FIRDS data, and where controls commonly fail.
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InsightsThe Importance of Reconciling and Auditing Transactions
Learn why MiFID II transaction report reconciliation and auditing matter, how FCA scrutiny exposes reporting gaps, and what firms must do to stay compliant.
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