12 Apr 2021

Eurex

MiFID II/MiFIR: Personal data for buyer/seller identification for the AOTC trading capacity in the non-MiFIR transaction report

Eurex Circular 036/21 MiFID II/MiFIR: Personal data for buyer/seller identification for the AOTC trading capacity in the non-MiFIR transaction report


1.  Introduction

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.

3.  Details

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

  • for buyers in the fields 9-15 and
  • for sellers in the fields 18-24.

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.
 

Further information

Recipients:

All Trading Participants of Eurex Deutschland 

Target groups:

Front Office/Trading, Middle + Backoffice, IT/System Administration, Auditing/Security Coordination, Compliance departments, Nominated Persons

Contact:

For inquiries regarding functionality: rrh@deutsche-boerse.com, tel. +49-69-211-1 13 20, 07:00 – 18:15 CE(S)T; 
for inquiries with technical background: cts@deutsche-boerse.com, tel. +49-69-211-1 77 55, 07:00 – 23:00 CE(S)T;
for other inquiries: your Key Account Manager or client.services@eurex.com

Web:

www.eurex.com > Rules & Regs > MiFID II/MiFIR

Authorised by:

Randolf Roth


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