Q&A · ESMA

National identifier for stateless natural persons

Answered

Read the official text on the ESMA website(opens in a new tab)

AI-generated Summary

Stateless natural persons should be identified in transaction reports with the country code 'ZZ' followed by a CONCAT code built under Article 6(4) of RTS 22.

Details

Reference	ESMA_QA_632
Issuer	ESMA
Published	31 Mar 2023
Answered	31 Mar 2023
Submitted	9 Dec 2022
ESMA topics	Transaction reporting
Earlier Q&A document	ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 24.14

Provisions it relates to

Article 26 MiFIR · Obligation to report transactions
MiFIR
Inferred · 85%
MiFIR (whole act)
Explicit reference

Documents it refers to

GuidelinesPublishedExplicit reference
ESMA/2016/1452: Guidelines Transaction reporting, order record keeping and clock synchronisation under MiFID II
ESMA · the ESMA website
AI summaryESMA's guidelines (ESMA/2016/1452, corrected 2017) on transaction reporting under Article 26 MiFIR, order record keeping under Article 25 and clock synchronisation, with detailed worked examples on trading capacities, chains and transmission of orders, identification of clients and decision makers, and how to populate each reporting field.
RTSIn forceExplicit reference
Commission Delegated Regulation (EU) 2017/590 of 28 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards for the reporting of transactions to competent authorities
European Commission · 31 Mar 2017 · EUR-Lex
AI summaryRTS 22 on transaction reporting under Article 26 MiFIR: defines a reportable transaction and its execution, the conditions for transmitting orders instead of reporting, identification of firms, clients, decision makers and the persons or algorithms responsible for investment and execution decisions, flags for waivers and short sales, branch reporting and the most relevant market in terms of liquidity, with the reporting fields in its annex.