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