ESMA_QA_1502

Status: ✅ Answer Published

Link to ESMA Q&A tool: https://www.esma.europa.eu/publications-data/questions-answers/1502

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Regulatory Context

Regulation : MIFIR

Level 1 Regulation: Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP

Level 2 Regulation: No information available

Level 3 Regulation: No information available

Topic: * LEI (Legal Entity Identifier)

Subject Matter: MiFIR data reporting - LEI of the issuer

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Question

Submission Date: 19 July 2021

[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 2.6]

(a) In case of a financial instrument issued by an Alternative Investment Fund (AIF) or; an undertakings for collective investment in transferable securities (UCITS) , which LEI code should be reported in the field 5 (Issuer or operator of the trading venue identifier) of RTS 23 and related RTS and ITS under MAR Article 4?

(b) In case of a financial instrument issued by an umbrella fund that is an AIF or an UCITS, which LEI code should be reported in the field 5 (Issuer or operator of the trading venue identifier) of RTS 23 and related RTS and ITS under MAR Article 4?

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ESMA Answer

Answer Date: 19-07-2021

[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 2.6] (a) The LEI of the fund (AIF[1] or UCITS[2]) should be reported in field 5 of RTS 23 and related RTS and ITS under MAR Article 4.  (b) If sub-funds are part of the umbrella fund structure, then the LEI of the sub-fund should be reported in field 5 of RTS 23.  

 

[1]  As defined in Article 4(1)(a) of the AIFMD.

[2]  As defined in Article 1(2) of the UCITS Directive.

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This document was automatically extracted from the ESMA EMIR Q&A database.