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Trade and transaction reporting is a highly complex area that many firms struggle to fully understand and successfully implement, as has been demonstrated by a number of high-profile enforcement cases.

As the European transaction reporting regimes have matured, the ESMA, the FCA and the EU National Competent Authorities (NCAs) are placing increasing focus on the accuracy, validity and completeness of firms’ trade and transaction reporting.

Transaction reporting requirements are challenging, and failings can lead to significant financial penalties as well as reputational damage for both the firm and its individuals responsible, particularly under the FCA’s Senior Managers Regime.

Whether you have identified reporting problems, are facing regulatory action or simply require independent advice and assurance on your current transaction reporting and/or trade reporting arrangements, Kroll can assist. Backed by our multidisciplinary markets team, Kroll is renowned as a leading advisor on regulatory reporting, especially MiFIR, EMIR and SFTR.

Trade and Transaction Reporting Services


Tech-Enabled Trade and Transaction Reporting Service

To complement our existing, world-class consulting services, Kroll has launched a new electronic transaction reporting assurance service – RegAnalyze. This service aims to improve the quality of your reporting and reduce the costs associated with meeting your regulatory obligations, using in-house resources.

Our RegAnalyze quality assurance reporting solution offers the following benefits:

  • A comprehensive range of quality assurance reporting and accuracy for EMIR, MiFIR and SFTR 
  • Automated data quality validation for accuracy
  • Data reconciliation tool for completeness
  • Ability to adapt to ingest your internal systems for reconciliation
  • Reporting of results ranked by relative regulatory risk
  • Clear recommendations

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Zach Johnson is a director at Duff & Phelps.
Zach Johnson
Financial Services Compliance and Regulation

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