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5 Guidelines on transaction reporting

This section on transaction reporting is split into four parts:

Part I - General principles. Describes the general principles to apply to transaction reporting. It covers how to construct a transaction report, and in what circumstances and where to send the report. It provides high level approaches to reporting and further guidance on certain exclusions from the meaning of transaction as specified in Article 2(5) of Commission Delegated Regulation (EU) 2017/590.

Part II - Blocks. Covers blocks (collection of fields), where each block addresses the relevant fields for a particular topic, with accompanying examples of how to populate these. The blocks are structured to be independent of each other.

Part III - Scenarios. Provides examples based on different trading scenarios that a reporting party might experience. In particular, transactions resulting from transmissions of orders, grouped orders and the provision of Direct Electronic Access (DEA) are presented.

Part IV -

Comparing proposed amendment...
Part I - General principles
5.1 General approach to reporting
5.2 Trading capacity
5.3 Chains and transmission
5.4 Execution of a transaction on a Trading Venue
5.5 Identifiers for parties
5.6 Meaning of transaction
5.7 Mechanics for reporting
Part II - Blocks
5.8 Block 1: Buyer/Seller identification
5.9 Block 2: Decision maker for Buyer/Seller
5.10 Block 3 (combination of 1 and 2): Buyer/Seller and decision maker specific scenarios
5.11 Block 4: Investment decision within the firm Field
5.12 Block 5: Execution within the firm field
5.13 Block 6: Trading date time
5.14 Block 7: Venue
5.15 Block 8: Short selling flag
5.16 Block 9: Waiver, OTC post-trade and commodity derivative indicators
5.17 Block 10: Branches
5.18 Block 11: Status of transaction reports and corrections
5.19 Block 12: Change in notional
Part III - Trading scenarios
5.20 Transfer of securities
5.21 Investment Firm introducing without interposing
5.22 One order for one client executed in multiple transactions
5.23 Grouping orders
5.24 OTF acting on a matched principal basis
5.25 Value based transactions with a balancing unit
5.26 Chains and transmission
5.27 Investment Firm acting under a discretionary mandate for multiple clients
5.28 Direct Electronic Access (DEA)
5.29 Hedging through contracts for difference (CFDs)
5.30 Reporting by a Trading Venue of a transaction executed through its systems under Article 26(5) of MiFIR
5.31 Securities financing transactions
Part IV - Reporting of different types of instruments
5.32 Principles
5.33 Identification of financial instruments traded on a Trading Venue or available on the ESMA list
5.34 Identification of financial instruments not traded on a Trading Venue or available on the ESMA list
5.35 Reporting specific financial instruments