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
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