With this circular, we would like to draw your attention to Regulation (EU) 600/2014 which relates to the reporting requirements of non-MiFIR trading participants according to Article 26 (5) MiFIR for orderly provision of the relevant data, and remind non-MiFIR trading participants of their obligations.
2. Action required
Delegated Regulation (EU) 2017/590 additionally specifies in Annex I Table 2 the data which have to be reported. These include personal data of the buyer and seller for the orders of non-MiFIR Eurex Trading Participants which have to be entered in the fields 9-15 (buyer data) and in the fields 18-24 (seller data) of the transaction report. A reporting obligation only exists if the buyer (field 7) or the seller (field 16) are natural persons.
Non-MiFIR Eurex Trading Participants who populate field 7 or field 16 of the report with a natural person, are obliged to provide Eurex with the personal data pertaining to this natural person. The data to be delivered are specified
This data can be entered in the “Trading Venue Extract File” in the Regulatory Reporting Hub. Eurex provides all non-MiFIR customers with a “Trading Venue Extract File” via the Regulatory Reporting Hub. This file contains all transaction data available at Eurex. Non-MiFIR customers are obliged to enrich this transaction data with the data mentioned above and resubmit the file to Eurex.
Please note that a breach of the reporting obligation stated in § 70 of the Exchange Rules of Eurex Deutschland may lead to sanctions.
All Trading Participants of Eurex Deutschland
Front Office/Trading, Middle + Backoffice, IT/System Administration, Auditing/Security Coordination, Compliance departments, Nominated Persons
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