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  • Market Abuse Reporting Format

    • MAM-A.4.6

      Persons subject to the obligations to report irregular transactions to the CMSD shall report in the following standard format:

      Description of the transaction(s)
      Details of the securities, including the code of the security (ISIN Number); the market(s) concerned; the original order's entry date/time, price and size; the times and sizes of the transaction(s); the type and characteristics of the order, etc.
      Reasons for Suspicion
      Reasons for suspecting that the transaction(s) might constitute insider dealing/market abuse/ market manipulation
      Identities of persons carrying out transaction(s)
      Names, addresses, telephone number, location, account number, client Identification code used by the firm, etc.
      Identities of any other persons known to be involved in the transaction(s)
      Names, addresses, telephone number, location, relation to person carrying out the transaction, position held, role played, etc.
      Capacity in which the person performing the transaction(s) acts
      e.g. broker, underwriter, agent, investment/fund manager, auditor, insider.
      Any information which may be of significance (along with a list of any accompanying documents/evidence)
      Details of the person making notification
      Name of person, name of firm, position held within firm, contact details, etc.
      Signed ........... (person making report)

      Dated ........... (date of report)
      November 2010

    • MAM-A.4.8

      Where the information specified to be reported is not available at the time of reporting, the report shall include at least the reasons why the reporting persons suspect that the transactions might constitute insider dealing or market manipulation. All remaining information shall be provided to the CMSD as soon as it becomes available.

      Persons making suspicious transactions reports therefore, do not need to have all the required information before contacting the CMSD. If the case is one which (the persons subject to the reporting obligation consider) needs to be brought to the attention of the CMSD urgently, then the person(s) concerned shall make the first contact quickly. This can be done by telephone if appropriate, giving the basic details and reasons for suspicion, followed by written confirmation. The other information can be supplied subsequently.

      November 2010