ESMA_QA_784

Status: ✅ Answer Published

Link to ESMA Q&A tool: https://www.esma.europa.eu/publications-data/questions-answers/784

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Regulatory Context

Regulation : PILOT

Level 1 Regulation: Regulation (EU) 2022/858 - DLT Pilot Regime Regulation (DLTR)

Level 2 Regulation: No information available

Level 3 Regulation: No information available

Topic: DLT Pilot Regime

Subject Matter: Transaction reporting

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Question

Submission Date: 16 December 2022

How should Field 3 “Trading venue transaction identification code” (TVTIC) of RTS 22 be populated in case the entity executing the transaction is a natural person and not an investment firm?

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ESMA Answer

Answer Date: 16-12-2022

Irrespective of whether an exemption from reporting was granted or not, DLT MTFs/TSS have an obligation under Article 12 of RTS 24 to maintain an individual transaction identification code for each transaction resulting from the full or partial execution of an order. As described in Field 3 of RTS 22, this number should be disseminated to both the buying and the selling parties regardless of whether such parties are investment firms or natural persons. Therefore Field 3 of RTS 22 must be populated also in case the entity executing the transaction is a natural person. [DLT Transaction Reporting Q&A 5]

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