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Attachment 11
Report Request Form
Securities Compliance Department would like to receive: (Please in check box of the requested report)
1. A hard copy of the Annual Report 2015
2. A hard copy of the
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How to fill out trade reporting and compliance
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Who needs trade reporting and compliance?
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What is trade reporting and compliance?
Trade reporting and compliance involves reporting all relevant trade information to regulatory authorities and ensuring that the trades comply with all applicable laws and regulations.
Who is required to file trade reporting and compliance?
Certain financial institutions, traders, and market participants are required to file trade reporting and compliance.
How to fill out trade reporting and compliance?
Trade reporting and compliance forms can usually be filled out online through a designated platform provided by the regulatory authorities.
What is the purpose of trade reporting and compliance?
The purpose of trade reporting and compliance is to promote transparency, ensure market stability, and prevent market abuse.
What information must be reported on trade reporting and compliance?
Information such as the details of the trade, the parties involved, and the timing of the trade must be reported on trade reporting and compliance.
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