iOn September 15, the UK Financial Conduct Authority (FCA) published a new form (Form) to be used when notifying the regulator of transaction reporting errors or failures in breach of Chapter 17 of the FCA’s Supervision Manual (SUP). Chapter 17 of SUP requires firms to notify the FCA of any transaction reporting errors or failures as soon as possible. Firms may (but are not required) use the Form to ensure all necessary information is provided to the FCA in compliance with this obligation.
The Form is available here.
