Qomply Regulatory News and Events

Qomply Webinar | Financial Markets Regulation
Post-Brexit Retrospective and Horizon Scanning

Qomply Hosts FCA, KPMG and Bovill in Webinar

23 June 2021

Qomply hosts Webinar on 14 July 2021

Stephen Hanks - FCA
Dr. Kay Swinburne - KPMG
Damon Batten - Bovill

Moderated by Michelle Zak from Qomply.

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Webinar | MiFID II Transaction Reporting
Common Reporting Issues and How to Resolve Them

BDO

19 May 2021

BDO hosts Qomply at Webinar on 16 June 2021

Top 10 rejections that firms are receiving from the regulators for their transactions.
Common hidden reporting errors
Common trade booking issues
The process of conducting a retrospective transaction report healthcheck, including the required three-way reconciliation process.

Qomply will demonstrate the use of technology to automatically identify, unpick and resolve errors in transaction reporting.

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Troubleshooting MiFID | Resolving the CON-412 Rejection Code

CON-412 Troubleshooting

12 May 2021

According the FCA, nearly 60pct of rejected transactions are due to the instrument not being found in their database. Even though firms have had three years to bed-in processes, the CON-412 rejection code continues to plague operations and compliance departments.

Learn how to use FREE tools to determine instrument reportability and avoid over reporting. Also, understand that trading venues sometimes fail to submit instrument data thereby resulting in an error on your side.

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Qomply Wins Prestigious Sell-Side Technology Award for Its Transaction Reporting Platform

Prestigious Sell-Side Technology Award

13 April 2021

Qomply is the winner of the prestigious “Best Sell-Side Newcomer” award from Waters Technology, one of the most respected accolades in the financial sector.

The Sell-Side Technology awards recognise the leading technologies and third-party vendors in their area of expertise, through an auditable and transparent methodology developed and managed by independent judges.

Qomply won the award for its innovative cloud-based platform that performs comprehensive diagnostics across every field of every trade contained in a transaction report for MiFID. Qomply implements methodologies used in electronic trading so as to ensure accurate and reliable results.

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Qomply Welcomes Peter Green to Advisory Committee

Qomply Advisory Committee

31 March 2021

Peter brings more than 30 years of financial expertise and market insights, further strengthening Qomply in expanding its ambitions and building its momenteum. Peter will contribute strategic guidance, commercial insights, and operational expertise.

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Paid Graduate Position Available at Qomply

3-6 Month Paid Graduate Position

22 March 2021

The Graduate Insight Programme is suitable for third-year university students with a thrist for knowledge and an entrepreneurial spirit.

Students gain experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

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Qomply and Bovill Announce Strategic Partnership

Qomply and Bovill Partnership

3 February 2021

Qomply, a leading transaction reporting RegTech firm, and Bovill, a global financial services regulatory consultancy, have announced a new partnership that will deliver a complete end-to-end transaction reporting service for financial institutions.

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Qomply Launches Free MiFID Service

19 January 2021

As of 1 January 2021, the FCA started operating its own FIRDS database, a “golden source” of reference data for which 7 billion transactions depend. This places the FCA squarely in the spotlight as the integrity of data in the FCA FIRDS database is now instrumental in the regulatory obligations it had a hand in setting forward.

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Qomply Announces Spring 2-week Insight Programme for First or Second Year Students

18 January 2021

You’ll gain real experience in a real role, working on anything from quality assurance and marketing projects to research and analysis, according to the business area that interests you. Qomply provides training, guidance, shadowing, and mentoring.

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Transaction Reporting Webinar with Bovill Regulatory Experts

6 January 2021

An informal webinar offering participants the opportunity to ask questions relating to transaction reporting, compliance, and other regulatory topics. Qomply will be demonstrating their technology for checking transaction reports for accuracy, completeness, and over-reporting.

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FCA Breaks from EU in Operating Data Repository that Underpins Key Regulation

20 January 2021

As of 1 January 2021, the FCA started operating its own FIRDS database, a “golden source” of reference data for which 7 billion transactions depend. This places the FCA squarely in the spotlight as the integrity of data in the FCA FIRDS database is now instrumental in the regulatory obligations it had a hand in setting forward.

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FCA and ESMA to Launch Changes on 1st January 2021

10 December 2020

Changes to databases, service outages, and file size changes could impact firms if caught unaware. The FCA plans on doubling the amount of records made available in nightly files which could mean firms need to make available addition processing power to manage new file sizes.

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Qomply Shortlisted for Best Trade Reporting Solution

3 December 2020

We are pleased to announce that Qomply has been shortlisted for the “TradingTech Insight Award” in the Trade Reporting Solutions category.

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Part 2: Important Findings From Recent FCA Market Watches

11 November 2020

Part 2 of a discussion that takes an in-depth look at transaction reporting issues alongside resolution and remediation.

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Part 1: Important Findings From Recent FCA Market Watches

2 November 2020

The FCA has released transaction report commentary in three separate publications of their Market Watch Newsletter (59, 62 and 65). This blog discusses findings and examples to support the FCA comments so as to clarify the impact and remediation of common transaction report shortcomings.

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Investment Firms Start to Awaken to Little Known MiFID Regulation

25 June 2020

Strong likelihood that your firm is not complying with the MiFID II requirement for periodic reconciliation of transaction reports sent to the FCA.

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Shutting Down of CME’s Regulatory Reporting Leaves Firms Scrambling to Fill Gap

19 May 2020

In a sign of things to come, CME’s announcement potentially foretells a story of unprofitability in a market where FinTech’s are encroaching and ROI eroding.

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The Importance of Reconciling and Auditing Transaction Data

6 May 2020

Reconciling and auditing transaction data is an instrumental part of the reguluations with few firms complying.

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FCA "hints" at Potential Enforcement in Key Areas: Part 1

15 April 2020

FCA fires shot across the bow in their Market Watch publications. Firms must tighten weakness in reporting as enforcement looms

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FCA "hints" at Potential Enforcement in Key Areas: Part 2

9 April 2020

FCA fires shot across the bow in their Market Watch publications. Firms must tighten weakness in reporting as enforcement looms

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Post-Brexit: 3rd Country Rules Impact UK Firms

26 March 2020

Post-Brexit may leave UK and EU viewing each other as a 3rd country. In which case, 3rd Country reporting requirements kick-in imposing requirements for more data in transaction reporting and data retainment of sensitive trader data.

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