Related provisions for SUP 17.2.7
1 - 4 of 4 items.
Reports of transactions made in accordance with Articles 25 (3) and (5) of MiFID shall contain the information specified in SUP 17 Annex 1 EU which is relevant to the type of financial instrument in question and which the FCA declares is not already in its possession or is not available to it by other means.[Note: article 13(1) of the MiFID Regulation.]
11A firm must keep at the disposal of the FCA, for at least five years, the relevant data relating to all transactions in financial instruments which it has carried out, whether on own account or on behalf of a client. In the case of transactions carried out on behalf of clients, the records shall contain all the information and details of the identity of the client, and the information required under the money laundering directive.[Note: article 25(2) of MiFID]
1A trade matching or reporting system shall be approved by the FCA for the purposes of Article 25(5) of MiFID if the arrangements for reporting transactions established by that system comply with SUP 17.3.1EU and are subject to monitoring by a competent authority in respect of their continuing compliance.[Note: article 12(2) of the MiFID Regulation]