Transcription of Guidelines - Europa
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Guidelines - Europa
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) ..20 Restrictions on trading capacities ..21 Chains and transmission ..21 General ..21 Chain where a Firm is dealing on own account or on a matched principal basis 22 Transmission ..22 Execution of a transaction on a Trading Venue ..23 Trading venue transaction identification code (Field 3).
convergence measures on the implementation of these RTSs. These Guidelines reflect the outcome of this work and follow the Consultation Paper (CP) that was published in December 2015 2. Contents Sections 1, 2 and 3 define the scope, definitions and purpose of the Guidelines. Section 4 defines the procedure for compliance with the Guidelines.
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