Date-stamp loading

4 Position reporting [Last update: 23/09/2022]

Comparing proposed amendment...
Question 1 Do positions held by an investment firm on behalf of their clients add to the investment firm's own positions? [Last update: 07/07/2017]
Question 2 How should investment firms report the positions in commodity derivatives of persons who receive investment or ancillary services from a non-investment firm that is an "end client" of the investment firm? [Last update: 07/07/2017]
Question 3 Who should submit position reports under Article 58(2) MiFID II? [Last update: 07/07/2017]
Question 4 Should investment firms include positions traded on a trading venue and economically equivalent OTC contracts in position reports under Article 58(2) MiFID II? [Last update: 07/07/2017]
Question 5 Does the requirement for trading venues to make public weekly aggregate position reports and to communicate that report to the competent authority and to ESMA apply to securitised derivatives? [Last update: 23/09/2022]
Question 6 At what level should Asset Managers aggregate positions? Is this to be done at group level or a lower level (e.g. fund/legal entity identifier etc.)? [Last update: 23/09/2022]
Question 7 Which MIC should be used by trading venues for position reporting? [Last update: 07/07/2017]
Question 8 By when do positions have to be reported under Articles 58(1)(b) and 58(2) of MIFID II? [Last update: 07/07/2017]
Question 9 Does the requirement under Article 58(1)(b) and (2) of MiFID II to submit daily position reports to the NCA apply to securitised derivatives with a total number of securities in issue not exceeding 2.5 million? [Last update: 23/09/2022]
Question 10 How does ESMA propose to address the breaches of applicable non-EU laws and regulations regarding data protection and bank secrecy which may potentially arise from the reporting of client and end client positions? [Last update: 07/07/2017]
Question 11 Where an NFE trades only, or partly, for hedging purposes, can every transaction be reported as being for speculative purposes? Can on-venue liquidity provision be also reported as being for speculative purposes? [Last update: 23/09/2022]
Question 12 Should an investment firm acting as broker and using a matched principal model be subject to position reporting? [Last update: 13/11/2017]
Question 13 Do end-of-day zero positions need to be reported? [Last update: 13/11/2017]
Question 14 Can position reporting pursuant to Article 58(2) be outsourced to another entity? [Last update: 13/11/2017]
Question 15 Do positions in C(10) instruments with an underlying which is not a commodity as defined in Article 2(6) of Commission Delegated Regulation (EU) 2017/565 of 25 April 2016 need to be reported? [Last update: 13/11/2017]
Question 16 In respect of which contracts does ESMA expect to receive weekly reporting data from trading venues under Article 58(7) of MiFID II in conjunction with ITS 4 and 5? [Last update: 23/09/2022]
Question 17 Where there is a chain of investment firms that have to comply with commodity position reporting obligations, who has to report to the trading venue or NCA? [Last update: 15/12/2017]
Question 18 How should clients of investment firms inform their intermediaries of the nature of each of their positions (hedge or speculation)? Should that information be provided for each position or could clients indicate to their intermediaries that, except if they explain otherwise, all their positions should be deemed for hedging or non-hedging purposes? [Last update: 15/12/2017]
Question 19 How is the position quantity field reported for contracts that relate to delivery of the same underlying over different periods of time? [Last update: 15/12/2017]
Question 20 How should the position in the spot month and other months be reported for contracts where there are daily or weekly as well as monthly contracts? [Last update: 15/12/2017]
Question 21 In cases where an OTC contract is economically equivalent to more than one ETD contract traded on an EU trading venue and where those ETD contracts are not falling under the coordination procedure set out in Article 57(6) of MiFID II, to which NCA should the reporting of the EEOTC contracts be addressed? [Last update: 23/09/2022]
Question 22 Which types of firm fall within each of the ITS 4 categories for the purposes of the weekly Commitment of Trader (CoT) reports? [Last update: 23/09/2022]