Suspicious Transaction Order Report Template
Length: 12 Pages
Applies to: Investment firms, Wealth Management etc.
Buy Suspicious Transaction or Order Report (STOR) Template
This editable Word template helps firms meet FCA and ESMA requirements under MAR and FCA Handbook (MAR 9) by guiding the identification, recording, and reporting of suspicious transactions or orders.
It covers insider dealing, market manipulation, and unlawful disclosures, with structured fields for transaction details, rationale for suspicion, and supporting evidence. It also includes escalation procedures, incident descriptions, data retention, and the roles of compliance officers and management.
Practical guidance on gathering evidence, documenting decisions, and maintaining an audit trail supports robust compliance. Post-submission actions and data protection considerations are also addressed.
Ideal for investment firms, trading platforms, and compliance teams. Instantly downloadable and fully editable—ensuring thorough documentation and strong market abuse controls.
Length: 12 Pages
Applies to: Investment firms, Wealth Management etc.
Buy Suspicious Transaction or Order Report (STOR) Template
This editable Word template helps firms meet FCA and ESMA requirements under MAR and FCA Handbook (MAR 9) by guiding the identification, recording, and reporting of suspicious transactions or orders.
It covers insider dealing, market manipulation, and unlawful disclosures, with structured fields for transaction details, rationale for suspicion, and supporting evidence. It also includes escalation procedures, incident descriptions, data retention, and the roles of compliance officers and management.
Practical guidance on gathering evidence, documenting decisions, and maintaining an audit trail supports robust compliance. Post-submission actions and data protection considerations are also addressed.
Ideal for investment firms, trading platforms, and compliance teams. Instantly downloadable and fully editable—ensuring thorough documentation and strong market abuse controls.
Length: 12 Pages
Applies to: Investment firms, Wealth Management etc.
Buy Suspicious Transaction or Order Report (STOR) Template
This editable Word template helps firms meet FCA and ESMA requirements under MAR and FCA Handbook (MAR 9) by guiding the identification, recording, and reporting of suspicious transactions or orders.
It covers insider dealing, market manipulation, and unlawful disclosures, with structured fields for transaction details, rationale for suspicion, and supporting evidence. It also includes escalation procedures, incident descriptions, data retention, and the roles of compliance officers and management.
Practical guidance on gathering evidence, documenting decisions, and maintaining an audit trail supports robust compliance. Post-submission actions and data protection considerations are also addressed.
Ideal for investment firms, trading platforms, and compliance teams. Instantly downloadable and fully editable—ensuring thorough documentation and strong market abuse controls.