Identification of the investment firm executing a transaction
- Include valid Legal Entity Identifier in transaction reports
Retained EU Law
2017
United Kingdom
Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities (Text with EEA relevance)
At a glance
What's here
8 compliance obligations
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Identification of person or computer algorithm responsible for the investment decision
- Identify who or what made the investment decision in transaction reports
Identification of person or computer algorithm responsible for execution of a transaction
- Identify the person or algorithm responsible for executing a transaction in your reports
Designation to identify a short sale
- Report short sale transactions to the competent authority
Reporting of an execution for a combination of financial instruments
- Report each financial instrument separately and link with a unique identifier
Conditions upon which legal entity identifiers are to be developed, attributed and maintained
- Obtain client's LEI before providing transaction-reportable services
Reporting transactions executed by branches
- Report branch-executed transactions to the home regulator
Methods and arrangements for reporting financial transactions
- Implement and maintain proper systems and controls for reporting financial transactions
Browse 10 other sections — procedural / definitional / commencement
uri:annex/ii
Data standards and formats for transaction reporting
Meaning of transaction
Meaning of execution of a transaction
Transmission of an order
Designation to identify natural persons
Details of the identity of the client and identifier and details for the decision maker
Designation to identify an applicable waiver
Determination of the most relevant market in terms of liquidity
Entry into force and application
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