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Consultation Paper - Technical standards on reporting, data quality, data access and registration of Trade Repositories under EMIR REFIT (ESMA74-362-47)1 Legislative references, abbreviations and definitions2 Executive Summary3 Background (paras. 1-3)4 Reporting (paras. 4-346)4.1 Methods and arrangements for reporting (paras. 4-45)4.1.1 Provisions of details of OTC derivative contracts by NFC to FC (paras. 4-19)4.1.2 Reporting where an NFC decides to report itself (paras. 20-24)4.1.3 Delegation of reporting (paras. 25-33)4.1.4 Ensuring data quality by counterparties (paras. 34-45)4.2 Use of data standards (paras. 46-140)4.2.1 Use of ISO 20022 (paras. 46-62)4.2.2 Unique Trade Identifier (UTI) (paras. 63-88)4.2.3 Unique Product Identifier (UPI) (paras. 89-122)4.2.4 Use of Legal Entity Identifiers (LEIs) (paras. 123-132)4.2.5 Inclusion of CDEs (paras. 133-140)4.3 Reporting logic (paras. 141-182)4.3.1 Reporting of lifecycle events (paras. 141-178)4.3.2 Reporting at position level (paras. 179-182)4.4 Content of the report (paras. 183-337)paras. 183-1914.4.1 Data elements related to dates and timestamps (paras. 192-208)4.4.2 Data elements related to counterparties and beneficiaries (paras. 209-233)4.3.3 Data elements related to clearing, trading, confirmation and settlement (paras. 234-249)4.4.4 Data elements related to regular payments (paras. 250-254)4.4.5 Data elements related to valuation (paras. 255-262)4.4.6 Data elements related to collateral, margins and counterparty rating triggers (paras. 263-272)4.4.7 Data elements related to prices (paras. 273-278)4.4.8 Data elements related to notional amount and quantities (paras. 279-289)4.4.9 Data elements related to credit derivatives (paras. 290-295)4.4.10 Data elements related to other payments (paras. 296-303)4.4.11 Data elements related to packages and links (paras. 304-322)4.4.12 Data elements related to custom baskets (paras. 323-326)4.4.13 Data elements relevant for REMIT reporting (paras. 327-333)4.4.14 Reporting of derivatives on crypto-assets (paras. 334-337)4.5 Reporting of outstanding derivatives under the revised rules (paras. 338-343)4.6 The date by which derivatives should be reported (paras. 344-346)5 Data quality provisions (paras. 347-393)paras. 347-3495.1 Procedures on data collection (paras. 350-353)5.2 Procedures for update of an LEI (paras. 354-359)5.3 Reconciliation of data (para. 360-390)5.3.1 Scope and start of the reconciliation process (paras. 360-366)5.3.2 Framework of the reconciliation process (paras. 367-376)5.3.3 Integrity of the reconciled derivatives (paras. 377-378)5.3.4 Format of the files to be exchanged (paras. 379-383)5.3.5 Data elements to be compared during the reconciliation process (paras. 384-390)5.4 Procedures for portability (paras. 391-393)6 Common response on reporting (paras. 394-410)6.1 Rejection response (paras. 394-398)6.2 Reconciliation response and relevant statuses (paras. 399-401)6.3 End-of-day (EoD) response (paras. 402-410)7 Registration of the TRs (paras. 411-417)7.1 Additional provisions (para. 411)7.2 Provisions for extension of registration (paras. 412-414)7.3 Format of the application for registration and extension of registration (paras. 415-417)8 Data access by authorities (paras. 418-426)9 Publication of data (pras. 427-431)10 Annexes10.1 Annex I - Summary of questions10.2 Annex II - Legislative mandate to develop technical standards10.3 Annex III - Cost-benefit analysis10.4 Annex IV - Draft RTS on details of the reports to be reported to TRs under EMIR10.5 Annex V - Draft ITS on standards, formats, frequency and methods and arrangements for reporting to TRs under EMIR10.6 Annex VI - RTS on registration and extension of registration of TRs under EMIR10.7 Annex VII - ITS on registration and extension of registration of TRs under EMIR 10.8 Annex VIII – RTS on procedures for ensuring data quality10.9 Annex IX – RTS on operational standards for aggregation and comparison of data and on terms and conditions for granting access to data
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Version date: 26 March 2020 - onwards

5.3.3 Integrity of the reconciled derivatives (paras. 377-378)

Closed
3 July 2020

377. ESMA also proposes that there should be a confirmation of the number of common paired and reconciled records between each pair of TRs for the purposes of establishing the data integrity of the reconciliation process.

378. ESMA understands that the corresponding relevant information can be included as additional data in the relevant XML files.

Q109. What other aspects should be considered to ensure the integrity of the number and values of the reconciled derivatives? Please detail the reasons for your response.

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