Transcription of Guidelines - ESMA
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Guidelines - ESMA
10 October 2016 | ESMA/2016/1452 Corrected on 07/08/2017 Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II ESMA REGULAR USE 2 ESMA REGULAR USE 3 Contents Contents .. 3 Executive Summary .. 9 1 Scope ..10 2 Definitions ..10 3 Purpose ..10 4 Compliance and reporting obligations ..11 5 Guidelines on transaction reporting ..11 Part I General principles ..14 General approach to reporting ..14 Trading capacity ..15 Dealing on own account (DEAL) ..15 Trading in a matched principal trading capacity (MTCH) ..18 Trading in an any other capacity (AOTC).
10 October 2016 | ESMA/2016/1452 Corrected on 07/08/2017 Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II
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