To reduce risks inherent in reporting transaction progress to a client, the licensee should:_________

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mdksister4095 mdksister4095

12-09-2022
Social Studies

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To reduce risks inherent in reporting transaction progress to a client, the licensee should:_________

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tripatsingh039 tripatsingh039 · Answer 1 · 2022-09-16T10:50:39+02:00

To reduce risks inherent in reporting transaction progress to a client, the licensee should avoid statements of opinion and speculation in all reports.

A transaction report is a data that has been provided to us and provides details about a transaction. The reports help us identify and look into potential market abuse. They can also be used to complement the work of other regulatory bodies like the Bank of England and for conduct supervision purposes. The firm, its permitted reporting mechanism, or the operator of the trading venue must report transactions to the firm's home competent authority.

Transaction reporting is primarily intended to detect and prevent market abuse, whereas trade reporting focuses on guaranteeing transparency and fairness in the market. As a result, a larger emphasis is placed on the client driving the transaction as well as anyone acting on the client's behalf.

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