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Published date: 6 January 2020

Guidelines - Reporting under Articles 4 and 12 SFTR (ESMA70-151-2838) (updated 29 March 2021)

1 Legislative references, abbreviations and definitions
2 Scope
3 Purpose
4 General Principles (updated 29 March 2021)
4.1 Reporting start date
4.2 Determining the number of reportable SFTs
4.3 Reporting of CCP-cleared SFTs
4.4 Allocation of responsibility under Article 4(3) SFTR
4.5 Voluntary delegation of reporting
4.6 Application of SFTR reporting obligations to SFTs concluded by branches
4.7 Reporting by an NFC
4.8 Action types
4.9 Timely reporting of conclusion, modification and termination of an SFT
4.10 Mapping business events to action types and levels
4.11 Identification of a CSD participant
4.12 Determining counterparty side
4.13 Price and value fields
4.14 Reporting of CFI for a security used as collateral
4.15 Backloading
4.16 UTI generation and structure
4.17 Identifying and reporting on beneficiaries
4.18 Identification of issuer of securities and securities
4.19 Procedure when a counterparty undergoes a corporate action
4.20 Reporting in the phased-in period
5 SFTR Tables of fields (updated 29 March 2021)
5.1 Counterparty data
5.2 Loan and Collateral Data
5.3 Loan Data
5.4 Collateral data
5.5 Margin data
5.6 Reuse data, cash reinvestment and funding sources
6 Rejection feedback
7 Reconciliation feedback
8 Missing collateral feedback
9 How to provide information to authorities (updated 29 March 2021)