Registration certification transaction reporting MiFID II

Market parties must certify their transaction reporting system and test their connection to the AFM’s reporting system. This makes it possible to report transactions starting from January 3, 2018.

When MiFID II/MiFIR comes into force, each investment firm in a transaction chain will be responsible for reporting data relating to transactions executed in financial instruments (and all instruments where the underlying is a financial instrument traded on a trading venue) that are traded or admitted to trading on a trading venue (regulated market, MTF or OTF). Such transactions must be reported regardless of the place of execution.

Transaction data may also be reported via a company acting as an Approved Reporting Mechanism (“ARM”) and/or through the trading venues whose systems were used for conducting the transaction.

In addition, trading venues must report transactions for the institutions who are not investment firms, but are executing transactions on their venue.

How to register is described under Apply.

In order to be prepared to meet the new legal requirements on January 3, 2018, firms must take several actions in relation to the technical implementation of reporting systems. Please make sure to register in time.

 

Registration certification transaction reporting MiFID II

Also software developers who are building transaction reporting systems for investment firms, will be able to register in the test environment. However, these companies will not get access to the production system. Therefore the investment firms, for whom the system is developed, should also register.

Please indicate on the registration form if you want to report the transactions through a third party (ARM and/or trading venue).

 

Registration certification transaction reporting MiFID II

No charge is made for this service.

 

Registration certification transaction reporting MiFID II

Please download, fill in, sign and return the registration form in order to gain access to the test system of the AFM.

The identity document and the extract from the Chamber of Commerce should demonstrate that the registration form is filled in by a person authorized by the firm. The registration form, the copy of identity document and the extract from the Chamber of Commerce may be sent to the AFM using the following address:

Autoriteit Financiële Markten
Postbus 11723
1001 GS AMSTERDAM
Attn. S.A.M. Walter

After the registration has been completed, you will receive an user-ID and password in order to obtain access to the AFM’s test system by e-mail and sms. The AFM will also provide you with further instructions about the technical requirements of the test system.

Questions
Please send any further questions to MiFIDII.TRS@afm.nl.

 

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