Our Guide on Suspicious Transaction and Order Reporting brings together best practice, relevant regulations and, roles and responsibilities in a practical framework that you can use to self-assess your own inhouse policies and procedures. You can select sections and turn them into internal procedures or just add your firm details and adopt it as your internal STOR policy.
Our Guide knits back together the relevant regulatory regimes such as transaction reporting, financial crime and, of course market abuse.
Contained within your digital download are:
How to evidence to the FCA you are taking STORs seriously
What to look at during an investigation
Examples of reportable behaviour
The STOR report itself and what goes into it
Links to guidance and rules both present day and historically
Best practice for STOR reporting
FCA requirements
Guide to Suspicious Transaction & Order Reporting
- This product is in Microsoft Word (*.docx)