ESMA_QA_632

Status: ✅ Answer Published

Link to ESMA Q&A tool: https://www.esma.europa.eu/publications-data/questions-answers/632

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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: RTS 22 - Regulation 2017/590 on the reporting of transactions to competent authorities

Level 3 Regulation: Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II

Topic: * Transaction reporting

Subject Matter: National identifier for stateless natural persons

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Question

Submission Date: 09 December 2022

What ISO 3166-1 country code should trading venues and investment firms use to identify stateless natural persons for the purposes of transaction reports?

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ESMA Answer

Answer Date: 31-03-2023

[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 24.14] When identifying stateless natural persons, trading venues and investment firms should use the ISO 3166 code “ZZ”, followed by a CONCAT code generated in accordance with Article 6(4) of Commission Delegated Regulation (EU) 2017/590 (RTS22).

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