COMMISSION IMPLEMENTING REGULATION (EU) 2017/1005
of 15 June 2017
laying down implementing technical standards with regard to the format and timing of the communications and the publication of the suspension and removal of financial instruments pursuant to Directive 2014/65/EU of the European Parliament and of the Council on markets in financial instruments
(Text with EEA relevance)
Article 1
Scope
Article 2
Definition of the term ‘trading venue operator’
Article 3
Format of the publication and communication by trading venue operators
Article 4
Timing of the publications and communications by trading venue operators
Article 5
Format of the publications and communications by competent authorities
Article 6
Timing of the publications and communications by competent authorities
Article 7
Entry into force and application
ANNEX
SYMBOL |
DATA TYPE |
DEFINITION |
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{ALPHANUM-n} |
Up to n alphanumerical characters |
Free text field. |
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{COUNTRYCODE_2} |
2 alphanumerical characters |
2-letter country code, as defined by ISO 3166-1 alpha-2 country code |
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{DATE_TIME_FORMAT} |
ISO 8601 date and time format |
Date and time in the following format:
Dates and times shall be reported in UTC. |
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{ISIN} |
12 alphanumerical characters |
ISIN code, as defined in ISO 6166 |
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{LEI} |
20 alphanumerical characters |
Legal entity identifier as defined in ISO 17442 |
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{MIC} |
4 alphanumerical characters |
Market identifier as defined in ISO 10383 |
FIELD |
DETAILS TO BE REPORTED |
FORMAT FOR REPORTING |
Date and time of the publication / communication |
Field to be populated with the date and time of the publication / communication. |
{DATE_TIME_FORMAT} |
Action type |
Field to be populated with the action type. |
Suspension, removal, lifting of a suspension. |
Reasons for the action |
Field to be populated with the reasons for the action |
{ALPHANUM-350} |
Effective from |
Field to be populated with the date and time from which the action is effective. |
{DATE_TIME_FORMAT} |
Effective to |
Field to be populated with the date and time until which the action is effective. |
{DATE_TIME_FORMAT} |
Ongoing |
Field to be populated with true if the action is ongoing or false otherwise. |
‘True’— Action is ongoing ‘False’— Action is not ongoing |
Trading venue(s) |
Field to be populated with the MIC or MICs of the trading venues(s) or segments thereof to which the action relates. |
{MIC} If multiple MICs have to be provided, this field shall be populated with multiple MICs separated by comma. |
Issuer name |
Field to be populated with the name of the issuer of the instrument to which the action relates. |
{ALPHANUM-350} |
Issuer |
Field to be populated with the LEI of the issuer of the instrument to which the action relates. |
{LEI} |
Instrument identifier |
Field to be populated with the ISIN of the instrument. |
{ISIN} |
Instrument full name |
Field to be populated with the name of the instrument. |
{ALPHANUM-350} |
Related derivatives |
Field to be populated with the ISINs of the related derivatives as specified in Commission Delegated Regulation (EU) 2017/569(1), to which the action also relates. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
Other related instruments |
Field to be populated with the ISINs of the related derivatives affected by the action. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
Comments |
Field to be populated with comments. |
{ALPHANUM-350} |
FIELD |
DETAILS TO BE REPORTED |
FORMAT FOR REPORTING |
||||
Competent authority |
Field to be populated with the acronym of the competent authority doing the publication / communication. |
{ALPHANUM-10} |
||||
Member State of the competent authority |
Field to be populated with the country code of the Member State of the competent authority doing the publication / communication. |
{COUNTRYCODE_2} |
||||
Trading venue operator as initiator of the action |
Field to be populated with:
|
‘True’— Trading venue initiator ‘False’— Not a trading venue initiator |
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Date and time of the publication / communication |
Field to be populated with the date and time of the publication / communication. |
{DATE_TIME_FORMAT} |
||||
Action type |
Field to be populated with the action type. |
Suspension, removal, lifting of a suspension. |
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Reasons for the action |
Field to be populated with the reasons for the action. |
{ALPHANUM-350} |
||||
Effective from |
Field to be populated with the date and time from which the action is effective. |
{DATE_TIME_FORMAT} |
||||
Effective to |
Field to be populated with the date and time until which the action is effective. |
{DATE_TIME_FORMAT} |
||||
Ongoing |
Field to be populated with true if the action is ongoing or false otherwise. |
‘True’— Action is ongoing ‘False’— Action is not ongoing |
||||
Trading venue(s) |
Field to be populated with the MIC or MICs of the trading venues(s) or segments thereof to which the action relates. |
{MIC} If multiple MICs have to be provided, this field shall be populated with multiple MICs separated by comma. |
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Issuer name |
Field to be populated with the name of the issuer of the instrument to which the action relates. |
{ALPHANUM-350} |
||||
Issuer |
Field to be populated with the LEI of the issuer of the instrument to which the action relates. |
{LEI} |
||||
Instrument identifier |
Field to be populated with the ISIN of the instrument. |
{ISIN} |
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Instrument full name |
Field to be populated with the name of the instrument. |
{ALPHANUM-350} |
||||
Related derivatives |
Field to be populated with the ISINs of the related derivatives as specified in Delegated Regulation (EU) 2017/569, to which the action also relates. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
||||
Other related instruments |
Field to be populated with the ISINs of the related derivatives affected by the action. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
||||
Comments |
Field to be populated with comments. |
{ALPHANUM-350} |
FIELD |
DETAILS TO BE REPORTED |
FORMAT FOR REPORTING |
||||
Competent authority |
Field to be populated with the acronym of the competent authority that communicated the original action. |
{ALPHANUM-10} |
||||
Member State of the competent authority |
Field to be populated with the country code of the Member State of the competent authority that communicated the original action. |
{COUNTRYCODE_2} |
||||
Competent authority initiating the current action |
Field to be populated with the acronym of the competent authority following or not following the original action. |
{ALPHANUM-10} |
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Member State of the competent authority initiating the current action |
Field to be populated with the country code of the Member State of the competent authority following or not following the original action. |
{COUNTRYCODE_2} |
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Original action type |
Field to be populated with the type of the original action. |
Suspension, removal, lifting of a suspension. |
||||
Decision to follow, if applicable |
Field to be populated, if applicable, with:
|
‘True’— Action is followed ‘False’— Action is not followed |
||||
Reasons for the decision not to follow a removal, suspension or lifting thereof, if applicable |
Field to be populated with the reasons for the decision not to follow a removal, suspension or lifting thereof, if applicable. |
{ALPHANUM-350} |
||||
Date and time of the communication |
Field to be populated with the date and time of the communication of the current action. |
{DATE_TIME_FORMAT} |
||||
Effective from |
Field to be populated with the date and time from which the current action is effective. |
{DATE_TIME_FORMAT} |
||||
Effective to |
Field to be populated with the date and time until which the current action is effective. |
{DATE_TIME_FORMAT} |
||||
Ongoing |
Field to be populated with ‘true’ if the action is ongoing, or ‘false’ otherwise. |
‘True’— Action is ongoing ‘False’— Action is not ongoing |
||||
Trading venue(s) |
Field to be populated with the MIC or MICs of the trading venues(s) or segments thereof to which the current action relates. |
{MIC} If multiple MICs have to be provided, this field shall be populated with multiple MICs separated by comma. |
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Issuer name |
Field to be populated with the name of the issuer of the instrument to which the action relates. |
{ALPHANUM-350} |
||||
Issuer |
Field to be populated with the LEI of the issuer of the instrument to which the action relates. |
{LEI} |
||||
Instrument identifier |
Field to be populated with the ISIN of the instrument. |
{ISIN} |
||||
Instrument full name |
Field to be populated with the name of the instrument. |
{ALPHANUM-350} |
||||
Related derivatives |
Field to be populated with the ISINs of the related derivatives as specified in Delegated Regulation (EU) 2017/569, to which the action also relates. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
||||
Other related instruments |
Field to be populated with the ISINs of the related derivatives affected by the action. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
||||
Comments |
Field to be populated with comments. |
{ALPHANUM-350} |