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MENU * About * Regulatory Reporting * Knowledge Base * News & Events * Careers * Contact * * PORTAL * About * Regulatory Reporting * Knowledge Base * News & Events * Careers * Contact * * PORTAL Featured Knowledge Base EMIR REFIT: NEW FIELDS – DIRECTION OF THE TRADE Read article All knowledge base * * EMIR REFIT: NEW FIELDS – LIFECYCLE EVENTS In this edition of our EMIR REFIT review we explore some of the new fields and changes to existing fields… Read more * EMIR REFIT: NOTIFICATION TO NCAS ON DATA QUALITY ISSUES In the second edition of our EMIR Refit review, we look at another significant reporting requirement introduced by ESMA and… Read more * EMIR REFIT: REVIEW OF THE ENTITY RESPONSIBLE FOR REPORTING FIELD As we analyse the RTS / ITS and the Final Report on the Guidelines for reporting under EMIR, recently published… Read more * EMIR REFIT – REPORTING UNDER THE NEW RTS /ITS New ISO20022 XML format Firms will be required to submit their transaction reports to the trade repositories (TR) in the… Read more * ARTICLE 26 OF MIFIR CORPORATE ACTIONS Article 26 of MiFIR Corporate Actions In which level do the transaction reporting requirements under Article 26 of MiFIR apply… Read more * CFI’S IN RELATION TO EMIR, MIFIR, AND SFTR Point Nine’s team of experts explain the worldwide classifications of financial instruments (CFI) and what their relationship to EMIR, MIFIR, and… Read more * EMIR TRADE OR POSITION UNIQUE TRADE IDENTIFIER (UTI) EMIR mandates reporting of all derivatives to Trade Repositories (TRs). 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OTC derivative contracts that are not executed on a regulated market or third country equivalent… Read more * MIFIR ANNEX II – VALIDATOR (ESMA Q&A – QUESTION 2) ESMA has set the rules for the Natural Persons Identifiers to be used in MIFIR transaction reporting. In accordance with ESMA… Read more * EMIR REPORTING OBLIGATION FOR FCS AND NFCS What you should know about the EMIR Refit regarding reporting obligation for FCs and NFCs Article 9 of EMIR as… Read more * FCA INVESTMENT FIRMS (IF) The Investment firms register is a public register of investment firms authorised by the FCA that provide or perform MiFID… Read more * ELIMINATE TRADE REPORTING THREATS FOR INACCURATE SUBMISSIONS In March 2019, the Financial Conduct Authority (FCA) of the United Kingdom issued substantial fines to two large banks—Wall Street… Read more * GUIDE TO VALUATION REPORTING UNDER EMIR Financial counterparties and non-financial counterparties shall mark-to-market on a daily basis the value of outstanding contracts. 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However, less than 12… Read more * THE FUTURE OF TRANSACTION REPORTING It’s no secret that the major reporting regimes – MiFID II, EMIR, MiFIR, REMIT, CSDR, SFTR, FinfraG – have drastically… Read more * WHY EVERYONE IS TALKING ABOUT MIFID II / MIFIR It’s no secret that the European financial market has experienced serious turmoil and reform in the last five years. With… Read more * THE TRADE FINANCE AND POST-TRADE MARKET: BENEFITS AND CHALLENGES Over the last decade, the trade finance and post-trade markets in Europe have seen significant changes. After the most recent… Read more * EMIR VS. MIFID: WHAT IS THE DIFFERENCE? The European financial market has been through significant regulatory changes in the last decade—namely the enactment of Markets in Financial… Read more * EMIR: A BRIEF GUIDE In the last decade, the European financial market has seen drastic changes, specifically regarding the regulation of the post-trade market…. Read more * ESMA THIRD COUNTRY EQUIVALENT MARKETS The markets established in a third country and listed below have been considered as equivalent to a regulated market in… Read more * ESMA UCITS MANAGEMENT COMPANIES (UCITS) The Undertakings for the Collective Investment in Transferable Securities (UCITS) is a regulatory framework of the European Commission that creates… Read more * ESMA SYSTEMATIC INTERNALISERS (SI) Systematic internalisers (SIs) are investment firms which, on an organised, frequent, systematic and substantial basis, deal on own account by… Read more * ESMA REGULATED MARKETS (RM) Regulated Market (RM) – A multilateral system ran and/ or managed by a market operator subject to enhanced government requirements,… Read more * ESMA APPROVED PUBLICATION ARRANGEMENT (APA) Approved publication arrangement (APA) is a person authorised under the provisions established in the MIFID II Directive to provide the… Read more * ESMA ORGANISED TRADING FACILITY (OTF) An OTF is a multilateral system that facilitates multiple third-party buying and selling interests in bonds, structured finance products, emission… Read more * ESMA MULTILATERAL TRADING FACILITY (MTF) Multilateral Trading Facility (MTF) – An MTF is a multilateral system operated by an investment firms or a market operator,… Read more * ESMA APPROVED REPORTING MECHANISM (ARM) Approved Reporting Mechanism (ARM) means a person authorised under the provisions established in the MiFID II Directive to provide the… Read more * ESMA ALTERNATIVE INVESTMENT FUND MANAGERS (AIFM) The Alternative Investment Fund Managers Directive (AIFMD) is a European Union (EU) regulation that applies to hedge funds, private equity… Read more * MIFIR REPORTING – LESS THAN A YEAR TO GO LIVE The most complex regulatory framework With about 11 months to go until the introduction of MiFID II/MiFIR in the European… Read more * REGTECH: ITS ROLE IN REGULATORY COMPLIANCE Financial firms must confront the challenge of complying with a host of regulations. Often, these rules are numerous, complicated and… Read more * HOW SFTR IS CHANGING THE GAME OF SHADOW BANKING Executive Summary A new EU legislation named The Securities Financing Transactions Regulation (SFTR) entered into force on January 12, 2016…. Read more * ESMA INVESTMENT FIRMS (IF) The Omnibus Directive requires ESMA to establish a list of all investment firms in the European Union. The Registries database… Read more * ESMA REGISTERED TRADE REPOSITORIES (TR) The trade repositories listed have been registered by ESMA in accordance with Regulation (EU) No 648/2012 of the European Parliament… Read more * ISO-10383 MIC CODES REGULATORY REPORTING This International Standard specifies a universal method of identifying exchanges, trading platforms, regulated or non-regulated markets and trade reporting facilities… Read more * ISO-4217 CURRENCY CODES REGULATORY REPORTING ISO currency codes are the three-letter alphabetic codes that represent the various currencies used throughout the world. Each of the… Read more * ISO-3166 COUNTRY CODES REGULATORY REPORTING The purpose of ISO 3166 is to define internationally recognized codes of letters and/or numbers that we can use when… Read more * CONTRACT DELIVERY MONTH CODES (FUTURES & OPTIONS) The letters in the tables below indicate the contract delivery month and are part of listed futures and options instrument… Read more Load more Contact Us DISCLAIMER: THE CONTENT OF THIS WEBSITE IS FOR GENERAL INFORMATION PURPOSES ONLY. NO OTHER USE OF THE CONTENT IS PERMITTED WITHOUT THE PRIOR WRITTEN CONSENT OF POINT NINE. THE CONTENT OF THE INFORMATION FOUND ON OUR WEBSITE IS NOT COMPREHENSIVE AND DOES NOT CONSTITUTE LEGAL, FINANCIAL, TRADING OR REGULATORY ADVICE. ALTHOUGH THE INFORMATION PROVIDED THROUGH THE WEBSITE IS OBTAINED THROUGH RELIABLE SOURCES, CANNOT SUBSTITUTE PROFESSIONAL ADVICE NOR GUARANTEE THE ACCURACY, VALIDITY, TIMELINESS OR COMPLETENESS OF ANY INFORMATION OR DATA MADE AVAILABLE TO YOU. 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