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Version date: 10 October 2016 - onwards

Executive Summary

Reasons for publication

After the finalisation of the draft regulatory technical standards on transaction reporting, order record keeping and clock synchronisation (Commission Delegated Regulation (EU) 2017/590, Commission Delegated Regulation (EU) 2017/580 and Commission Delegated Regulation (EU) 2017/574 [ESMA draft Technical Standards submitted to the European Commission on 28 September 2015 (ESMA/2015/1464) are available on ESMA website at the following link:https://www.esma.europa.eu/sites/default/files/library/2015/11/2015-esma-1464_annex_i_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf]), ESMA has launched its own initiative work on the supervisory convergence measures on the implementation of these RTSs.

These Guidelines reflect the outcome of this work and follow the Consultation Paper (CP) that was published in December 2015 [Consultation Paper on Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation (ESMA/2015/1909) is available

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