MiFID II / MiFIR Reporting Overview Position Reporting Transaction Reporting EEXMarketsReporting ServicesMiFID II / MiFIR Reporting MiFID II Position & MiFIR Transaction Reporting within the EEX Compliance Services Framework The MiFID II / MiFIR functionality is aligned with the EEX’s Groups other regulatory reporting services for REMIT and EMIR using the same infrastructure, member access mechanisms as well as a common source of exchange, clearing and configuration data to best serve your needs. All exchanges of EEX Group are covered (CEGH, EEX, Gaspoint Nordic and PXE). Reporting Obligations Position Reporting Exchanges are required to submit daily as well as weekly position reports to the National Competent Authorities (NCAs), e.g. BaFin/AMF (§58.1). All exchange members are required to support position reporting by the trading venue (§ 58.3). EEX Group’s exchanges will leverage ECC‘s position data and combine this information with instrument reference data and configuration data provided by the members to create draft MiFID II position reports. In case the member does not provide any amended information within the defined timeframe, EEX Group will submit the generated draft MiFID II position report assuming that it is complete. Transaction Reporting (RTS22) Exchanges are required to implement a daily reporting solution for non-investment and third-country firms (§ 26.5). Non-investment and third-country firms are required to support the transaction reporting by the trading venue. EEX Group’s exchanges will leverage ECC‘s position transaction data as well as order data from the trading system (T7) and combine this information with instrument reference and configuration data provided by the members to create a draft MiFIR transaction report. In case the member does not provide amended information within the defined timeframe, EEX Group will submit the generated draft MiFIR transaction report assuming that it is correct. Investment firms are required to submit a transaction report to the National Competent Authority (NCA) of the trading venue. (The draft based approach described above can also be offered as a service to investment firms.) Please note that investment firms have to fulfil more complex end client related requirements that are not covered within the draft reports. Therefore, investment firms have to implement additional measures. Documents 2020-05-11 MiFID II/MiFIR Data Services Agreement PDF (618 KB) 2019-11-06 MiFID II/MiFIR Customer Acknowledgement sample ZIP (4 KB) 2019-02-07 Customer Acknowledgements - MiFID II/MiFIR Reporting PDF (1 MB) 2018-06-07 MiFID II/MiFIR Data Services Description PDF (2 MB) 2018-02-09 MiFID Instrument File sample + explanation ZIP (691 KB) Position Reporting – Overview As part of MiFID II, there is an obligation for EEX to submit a daily/weekly position report to the relevant National Competent Authorities (NCAs), e.g. BaFin/AMF (Article 58, paragraph 1). EEX will leverage ECC position data to generate a draft report with all the information available for each exchange member (NCM) Exchange members are required to support the position reporting of the trading venues (Article 58, paragraph 3) 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. Members only need to contribute additional information not available to the exchange (for non-investment firms this will include the hedge/spec flag). Investment firms have the obligation to submit own position reports to NCAs Split-up of positions on client level can be created based on the draft reports generated by EEX. Reporting of off-exchange positions is supported (for derivatives listed at EEX). Position Reporting – Standard Workflow Reports are automatically generated based on ECC position 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 automatically submitted to the National Competent Authority (NCA) using the access infrastructure of the Regulatory Reporting Hub (RRH) of Deutsche Börse AG. Static Data Draft Reports Member Access to Draft Reports Report Submission Schema Title Type Category Publishing date File Examples MiFID Reporting EEX Group Regulatory Reporting MiFID II / MiFIR 2017-12-14 ZIP (173 KB) ITS4 Schema File (With Extensions) and Sample Files Regulatory Reporting MiFID II / MiFIR 2017-09-29 ZIP (8 KB) ITS4 final version (esma70-872942901-3_final_report_-_draft_its_4.pdf) Regulatory Reporting MiFID II / MiFIR 2017-07-24 PDF (364 KB) 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. 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 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 Title Type Category Publishing date File MIFID II EEX Group - Transaction Reporting Schema XSD_v1.3 Regulatory Reporting MiFID II / MiFIR 2018-04-03 ZIP (2 MB) Examples MiFID Reporting EEX Group Regulatory Reporting MiFID II / MiFIR 2017-12-14 ZIP (173 KB) RTS 22 (European Commission) Regulatory Reporting MiFID II / MiFIR 2017-07-24 PDF (286 KB) RTS 22 – annex (European Commission) Regulatory Reporting MiFID II / MiFIR 2017-07-24 PDF (586 KB) For information purposes only! The information on this website does not provide or substitute legal advice! FAQ MORE Reporting Services + 49 341 2156-380 reporting-services@eex.com MiFID II/MiFIR Data Services Agreement Please make sure to submit. MORE Newsroom MiFID II / MiFIR News MORE Key Information Documents MORE Questions on regulatory issues? Deutsche Börse provides an overview on regulatory topics on a dedicated website. MORE Local expertise in global commodity markets RELATED WEBSITES European Energy Exchange AG Augustusplatz 9, 04109 Leipzig, Germany t: +49 341 2156-0 a member of Privacy Notice Disclaimer Imprint Glossary We use cookies on our website. Some of these help to improve this website for your individual user experience, while others are fundamentally important to ensure that the content is correctly displayed. With the following statement, you can agree to the use of cookies. > Read the Privacy Policy INDIVIDUAL COOKIE SETTINGS