Guidelines · ESMA
Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II
ESMA's guidelines (ESMA/2016/1452, corrected 2017) on transaction reporting under Article 26 MiFIR, order record keeping under Article 25 and clock synchronisation, with detailed worked examples on trading capacities, chains and transmission of orders, identification of clients and decision makers, and how to populate each reporting field.
Details
| Reference | ESMA/2016/1452 |
|---|---|
| Issuer | ESMA |
Provisions it relates to
- Article 25 MiFIR · Obligation to maintain recordsESMA rulebook
- Article 26 MiFIR · Obligation to report transactionsESMA rulebook
Documents that refer to it
- Q&AAnsweredExplicit reference
AI summaryStateless natural persons should be identified in transaction reports with the country code 'ZZ' followed by a CONCAT code built under Article 6(4) of RTS 22.
- Q&AAnsweredExplicit reference
AI summaryA transaction in a convertible bond, reverse convertible bond or reverse convertible note is reportable under Article 26(2)(b) MiFIR where the instrument it converts into is traded on a trading venue, with that instrument reported as the underlying in field 47 of RTS 22; if the bond is itself in scope under Article 26(2)(a), only its own ISIN is reported.