The purpose of this document is to promote common supervisory approaches and practices in the application of MiFIR.
Two new Q&As provide further clarifications in relation to the requirements for submission of reference data under MiFIR relating to the following issues:
Reporting the LEI of the issuers to FIRDS in cases where the issuer of the instrument has a branch(es) that have a LEI.
Reporting maturity, expiry and termination dates to FIRDS.
One amendment to an existing Q&A clarifies the use of the Trading Venue Transaction Identification Code (TVTIC) when reporting transactions on complex trades. It provides responses to questions posed by the general public, market participants and competent authorities in relation to the practical application of MiFIR. The content of this document is aimed at competent authorities under the Regulation to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. It also provides guidance to Investment Firms, Trading Venues, Approved Reporting Mechanisms, Systematic Internalisers and other market participants by providing clarity on the reporting requirements under MiFIR.
Full Q&As
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