Independent Review, Audit & Ongoing Supervision of UK MiFIR Transaction Reporting
MiFIR Services
We help FCA-regulated investment firms, brokers and trading businesses improve the completeness, accuracy and governance of UK MiFIR transaction reporting through independent review, expert analysis and ongoing supervision.
How We Can Help
Transaction Reporting Review
Independent review of submitted reports to assess completeness, accuracy and timeliness.
Instrument & Static Data Review
Validate instrument reference data and static data used for transaction reporting.
Reportability Assessment
Assess reportability rules and determinations to ensure consistent application.
Reconciliation & Data Quality Testing
Reconcile reports to source data and test data quality across key dimensions.
Error Remediation Support
Identify, prioritise and support the remediation of reporting errors and breaks.
Policies, Procedures & Governance
Review and enhance policies, procedures and governance for UK MiFIR reporting.
ARM & Vendor Oversight
Assess ARM effectiveness and vendor controls supporting the reporting lifecycle.
Our UK MiFIR services are designed to enhance the quality of your transaction reporting and ensure ongoing compliance.
Engagement Models
Independent Audit
Comprehensive audit of your transaction reporting framework, controls and submitted reports against regulatory requirements.
Gap Analysis
Targeted assessment to identify gaps, weaknesses and areas of non-compliance in your reporting framework.
Ongoing Supervision
Continuous monitoring, testing and oversight to ensure ongoing reporting quality and control effectiveness.
Full-Scope Reporting Support
End-to-end support across the reporting lifecycle from data to submission and issue management.
Key Outcomes
Improve reporting accuracy
Identify missing or duplicate reports
Strengthen governance and controls
Improve ARM & vendor oversight
Reduce recurring reporting errors
Prepare for regulatory review