Annex I Template for reporting and transmission of information on internalised settlement
United Kingdom
| Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349). | |||||||||
| Internalised Settlement | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| Settlement Internaliser Information | |||||||||
| C0010 | |||||||||
| Country code | R0010 | ||||||||
| Reporting timestamp | R0020 | ||||||||
| Reporting period | R0030 | ||||||||
| LEI | R0040 | ||||||||
| Name of person responsible | R0050 | ||||||||
| Function of person responsible | R0060 | ||||||||
| Phone number | R0070 | ||||||||
| Email address | R0080 | ||||||||
| Aggregate | Rate | ||||||||
| Settled | Failed | Total | Failed | ||||||
| Volume | Value (EUR) | Volume | Value (EUR) | Volume | Value (EUR) | Volume % | Value % | ||
| C0020 | C0030 | C0040 | C0050 | C0060 | C0070 | C0080 | C0090 | ||
| Overall total | R0090 | ||||||||
| Financial instruments | |||||||||
| Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU of the European Parliament and of the Councilf1 | R0100 | ||||||||
| Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | R0110 | ||||||||
| Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | R0120 | ||||||||
| Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU | R0130 | ||||||||
| Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU | R0140 | ||||||||
| Units in collective investment undertakings, other than exchange-traded funds | R0150 | ||||||||
| Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | R0160 | ||||||||
| Emission allowances | R0170 | ||||||||
| Other financial instruments | R0180 | ||||||||
| Type of transactions | |||||||||
| Purchase or sale of securities | R0190 | ||||||||
| Collateral management operations | R0200 | ||||||||
| Securities lending and securities borrowing | R0210 | ||||||||
| Repurchase transactions | R0220 | ||||||||
| Other securities transactions | R0230 | ||||||||
| Type of client | |||||||||
| Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU | R0240 | ||||||||
| Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU | R0250 | ||||||||
| Cash Transfers | |||||||||
| Total Cash Transfers | R0260 | ||||||||
| Each Issuer CSD Information | |||||||||
| C0100 | |||||||||
| Issuer CSD identifier | R0270 | ||||||||
| Issuer CSD country code | R0280 | ||||||||
| Aggregate | Rate | ||||||||
| Settled | Failed | Total Settled Failed | Failed | ||||||
| Volume | Value (EUR) | Volume | Value (EUR) | Volume | Value (EUR) | Volume % | Value % | ||
| C0110 | C0120 | C0130 | C0140 | C0150 | C0160 | C0170 | C0180 | ||
| Overall total | R0290 | ||||||||
| Financial instruments | |||||||||
| Transferable securities referred to in point (a) of Article 4(1)(44) of Directive 2014/65/EU | R0300 | ||||||||
| Sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | R0310 | ||||||||
| Transferable securities referred to in point (b) of Article 4(1)(44) of Directive 2014/65/EU other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | R0320 | ||||||||
| Transferable securities referred to in point (c) of Article 4(1)(44) of Directive 2014/65/EU | R0330 | ||||||||
| Exchange-traded funds as defined in point (46) of Article 4(1) of Directive 2014/65/EU | R0340 | ||||||||
| Units in collective investment undertakings other than ETFs | R0350 | ||||||||
| Money market instruments other than sovereign debt referred to in Article 4(1)(61) of Directive 2014/65/EU | R0360 | ||||||||
| Emission allowances | R0370 | ||||||||
| Other financial instruments | R0380 | ||||||||
| Type of transactions | |||||||||
| Purchase or sale of securities | R0390 | ||||||||
| Collateral management operations | R0400 | ||||||||
| Securities lending and securities borrowing | R0410 | ||||||||
| Repurchase transactions | R0420 | ||||||||
| Other securities transactions | R0430 | ||||||||
| Type of client | |||||||||
| Professional clients as defined in point (10) of Article 4(1) of Directive 2014/65/EU | R0440 | ||||||||
| Retail clients as defined in point (11) of Article 4(1) of Directive 2014/65/EU | R0450 | ||||||||
| Cash Transfers | |||||||||
| Total Cash Transfers | R0460 | ||||||||
Annotations
Footnotes
- f1
-
Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).