Trade & Transaction Reporting Services

Identify failings in the completeness, accuracy, and timeliness of your MiFID/MiFIR and EMIR regulatory reporting with our team of experts.

The requirement to report details of transactions has existed for many years but, as regulations have evolved, this has become increasingly onerous and complex. The FCA has identified improved regulatory reporting as one of its supervisory priorities, having already levied fines of varying sizes totaling more than £130m for reporting errors or omissions under MiFID and EMIR.

Our award winning trade and transaction reporting solutions help your firm identify failings in the completeness, accuracy, and timeliness of your trade and transaction reports. The prompt identification of errors can significantly reduce the cost and reputational risk from regulatory scrutiny and enforcement as well as the operational burden of re-reporting.

CONNECT WITH US


CONNECT WITH US


Our solutions

Systems and Controls Reviews

For one-off or recurring reviews of the controls surrounding your firm’s reporting framework.

By looking at both the design and operation of those controls, we help ensure that you have the appropriate monitoring, oversight and governance arrangements in place to facilitate correct reporting. These reviews are available for a combination of reporting regimes, in addition to the ARRMA service or as a standalone service.

Click here to speak to an expert

For a regular, cost-effective solution to analyse the data included in your firm’s reports and identify issues relating to the accuracy, completeness and timeliness.

By blending technology with consulting services, our award winning solution helps firms undertake meaningful monitoring that would otherwise require intensive, expensive and burdensome internal resources. Our reviews can be conducted monthly or quarterly with costs determined on a sliding scale to reflect report volumes.

Learn more

Training

We provide training for topics including transaction reporting, EMIR, market abuse, trade surveillance, senior management obligations, governance and compliance officer roles and responsibilities.

These are delivered by one of our specialist trainers and can be customised to meet your firm’s needs.

Click here to view our training options

1 of
Solution Spotlight

Free transaction reporting review

Take advantage of a complimentary one-time ARRMA lite reporting analysis to help identify the percentage of your reports featuring an error.

97% of firms analysed by our award winning ARRMA service have shown errors in their reporting* and many firms are still in breach by not incorporating market data processor (MDP) data in their MiFIR transaction reporting monitoring.

Book your free review to assess the state of your transaction reporting today.

Our team

Matthew Chapman

Matthew Chapman

Managing Director and Co-Lead, ACA's Regulatory Reporting & Assurance (ARRMA) Service
Charlotte Longman

Charlotte Longman

Director and Co-Lead, ACA's Regulatory Reporting & Assurance (ARRMA) Service
Headshot of Andrae Young

Andraé Young

Consultant
1 of

Why work with us?

Our deep expertise

Our deep expertise in compliance and market surveillance technology can help strengthen your trade and transaction reporting programme, identify potential business and compliance risks, and avoid potential problems arising with key stakeholders, regulators, and current and prospective clients.

Our specialist team

Our specialist team has performed numerous EMIR and MiFIR reviews, from high-level control testing to full scope data analysis, logic specification and control design projects.

Our insights and benchmarking

We provide insights from quantitative ARRMA peer analysis to help you understand how your firm compares to its industry peers. This benchmarking is a valuable addition to your firm’s management body reporting as part of ongoing governance.

Latest trade and transaction reporting insights

Architectural image - office windows

FCA Fines Broking Firm and Bans Former Directors Over Reporting Failures

A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.

Compliance Alert
  • Compliance
  • Trade & Transaction
  • FCA
  • ComplianceAlpha
  • Trade Surveillance
Architectural image - office windows

Case Study: Helping a Leading Hedge Fund Address Transaction Reporting Errors 

How ACA’s Regulatory Reporting Monitoring & Assurance (ARRMA) helped one of Europe’s leading alternative asset management firms fund identify, resolve, remediate, and prevent future MiFIR transaction reporting errors.

Case Study
  • Trade & Transaction
  • Compliance
Architectural image - office windows

FCA Market Watch 70: Regulator Sharpens Claws on Inadequate Reporting Arrangements

The FCA’s Market Watch 70 takes aim at failings in trade reporting arrangements, quickly followed up with a fine to a brokerage company and its directors. We provide practical guidance on how to spot your errors before the regulators do.

Article
  • FCA
  • Trade & Transaction
  • Compliance
Architectural image - office windows

Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

Press Release
  • Compliance
  • Trade & Transaction
  • RegTech
Architectural image - office windows

Transaction Reporting: Man vs. Machine

With 97% of firms getting their transaction reporting wrong, it's clear they cannot rely solely on technology to create and submit complete and accurate reports under MiFIR, EMIR or SFTR. Can firms simply leave it up to the machines to detect errors? Or is human intervention key to ensuring the reporting is being done correctly?

Article
  • Trade & Transaction
  • Compliance
abstract architectural image

Case Study: Global Investment Firm Turns to ACA's ARRMA to Boost Transaction Reporting

Examining how ACA's transaction reporting team and ARRMA services helped a global investment firm to identify several areas where improvements could be made, creating a usable roadmap for compliance with transaction reporting, as their firm grows into a multiple new asset classes.

Case Study
  • Trade & Transaction
  • FCA
  • Compliance

Featured webcasts

MiFIR Transaction Reporting: A Practical Guide

Join us on Monday, 19 July at 11:00am BST for a complimentary webcast to mark the forthcoming launch of AIMA’s MiFIR Transaction Reporting Guide that has been developed with the support of ACA Group.

Webcast

EMIR Refit: Reporting Checklist

The most recent phase of the amended European Market Infrastructure Regulation (“EMIR REFIT” or simply “REFIT”) came into effect on 18 June 2020. These latest requirements are designed to simplify a derivatives regime currently seen as burdensome to some market participants, particularly those whose risk profile is unlikely to impact macro stability.

Webcast

News

ACA Group Selected as a RegTech100 Company for 2023

We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!

ACA Group Acquires Advanced Regulatory Compliance

Acquisition continues to reinforce ACA’s suite of leading GRC professionals and diversified services

ACA’s ESG Data and Analytics Solution Recognized for Its Impact on ESG Portfolios

Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.