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June 21, 2017

EC published, in the Official Journal of the European Union, the Implementing Regulation (EU 2017/1093) laying down implementing technical standards on the format of position reports by investment firms and market operators. This regulation covers specifics on both the weekly and daily position reports to be submitted by investment firms and market operators operating a trading venue.

With regard to the weekly reports, investment firms or market operators operating a trading venue shall prepare the weekly report referred to in Article 58(1)(a) of MiFID II (Directive 2014/65/EU), separately for each commodity derivative, emission allowance, or derivative thereof that is traded on that trading venue, in accordance with the format set out in the tables of Annex I to this Regulation. The weekly reports shall contain the aggregate of all positions held by the different persons in each of the categories set out in Table 1 to Annex I in an individual commodity derivative, emission allowance, or derivative thereof that is traded on that trading venue. With regard to the daily reports, investment firms shall provide competent authorities with the breakdown of their positions, as referred to in Article 58(2) of MiFID II, in the format set out in the tables to Annex II to this Regulation. The daily reports shall contain all positions across all maturities of all contracts.

 

Trading venue operators and investment firms shall submit these reports in a common standard XML format. This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union. It shall apply from January 03, 2018. This Regulation is based on the draft implementing technical standards submitted by ESMA to the EC.

 

Related Link: EU Regulation 2017/1093

Effective Date: July 11, 2017

Keywords: Europe, Securities, EC, Implementing Technical Standards, MiFID II, ESMA, Trading Venue

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