How Trade IDs and Report Tracking Number (RTN) should be assigned?

ETDs Reporting Answer 5

The Report Tracking Number (Table 2 Field 13) is a unique number assigned to the execution and common among a group of reports related to the same execution. It is a mandatory field for action type 'P’ at the trade level. In order to ensure uniqueness across reports relating to the same execution, the RTN should be based on a unique code assigned to this execution. The generation of the RTN should have its origin in a centralised infrastructure (e.g. the trading venue or the CCP). The tracking number should be by default the execution code assigned by the trading venue. In case this is not feasible or available due to the market model, a code generated at the clearing level by the CCP can be used.

The reporting counterparties are expected to obtain that tracking number from the trading or clearing confirmations that they receive from the investment firm or from the clearing member or CCP. They are also expected to transmit the tracking number to their counterparties to allow them to fulfil their reporting obligations.

A non-exhaustive list of trading/clearing cases and how the RTN should be populated is the following