When a firm (whether on its own account or on behalf of another) enters into a reportable transaction (as defined in SUP 17.5), it must make a transaction report (as set out in SUP 17.6) to the FSA.
Related provisions for SUP 17.4.2
1 - 3 of 3 items.
An investment management firm or
a personal investment firm need
not make a transaction
report to the FSA if: (1) the reportable
transaction is transacted on a regulated market and the firm:(a) reports the reportable transaction to that regulated market; or(b) satisfies itself that it will be so reported;
or(2) the firm is
the seller, or is acting on behalf of the seller, and the counterparty for
that transaction is another firm;
or(3) the firm has
reasonable grounds to believe