Transaction Reporting - Overview

As part of MiFIR, there is an obligation for EEX Group exchanges to submit a daily transaction report for non-investment firms and third-country firms to the relevant National Competent Authorities (NCAs), i.e. BaFin/AMF (§ 26.5, RTS 22).

  • EEX Group will leverage ECC‘s position transaction data as well as order data from the trading system (T7) and combine this information with instrument reference data and configuration data provided by the members to create a draft MiFIR transaction report. If required by the regulation, members will amend the data using a Web-Client based GUI or by uploading an amended file via SFTP.

Applicable exchange members are required to support the transaction reporting of the trading venues and can do so using the regulatory reporting solution of EEX Group.

  • Members can access and amend the draft reports provided by the regulatory reporting service of EEX Group
  • EEX will provide file as well as GUI-based access
  • Applicable members only need to contribute additional information not available to the exchange (In the case of exchange trades executed on the continuous market, this is usually the hedge/spec flag which can be entered at order level, but can also be amended on T+1 up to an early afternoon deadline)

Investment firms have the obligation to create MiFIR transaction reports. For investment firms EEX Group will be able to offer the same draft report creation service as stated above. None-the-less it is assumed that an investment firm might have more complex amendment requirements and in addition to the draft reports, further measures have to be implemented.

Transaction Reporting - Standard Workflow

  • Reports are automatically generated based on ECC position transaction data, member static data and default values provided by the member
  • EEX provides draft reports for amendment or replacement by the member on SFTP
  • Members can optionally amend report data
  • Reports are submitted automatically to the National Competent Authority (NCA) using the access infrastructure of the Regulatory Hub of Deutsche Börse AG in time to meet reporting deadlines.

  • Static Data

  • Draft Reports

  • Member Access to Draft Reports

  • Report Submission

  • Schema