Knowledge Base

← Describe the new transaction reporting constraints to regulators under MiFID II

mcq

What are the cumulative conditions for a firm to be exempt from the reporting obligation by transmitting an order to ...

What are the cumulative conditions for a firm to be exempt from the reporting obligation by transmitting an order to another investment firm? Select all relevant options.

The order must be received from a client or result from a discretionary mandate

All relevant information must be transmitted to the receiving firm

The receiving firm must be subject to the reporting obligation and agree to report on behalf of the transmitting firm

A documented agreement is mandatory