ESMA · ESMA_QA_1502 Answer Published
MiFIR data reporting - LEI of the issuer
- Regulation
- Markets in Financial Instruments Regulation (MiFIR) Regulation (EU) No 600/2014- MDP
- Topic
- * LEI (Legal Entity Identifier)
- Submitted
- 2021-07-19
- Answered
- 2021-07-19
Question
[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 2.6] (a) In case of a financial instrument issued by an Alternative Investment Fund (AIF) or; an undertakings for collective investment in transferable securities (UCITS) , which LEI code should be reported in the field 5 (Issuer or operator of the trading venue identifier) of RTS 23 and related RTS and ITS under MAR Article 4? (b) In case of a financial instrument issued by an umbrella fund that is an AIF or an UCITS, which LEI code should be reported in the field 5 (Issuer or operator of the trading venue identifier) of RTS 23 and related RTS and ITS under MAR Article 4?
Answer
[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 2.6] (a) The LEI of the fund (AIF [1] or UCITS [2] ) should be reported in field 5 of RTS 23 and related RTS and ITS under MAR Article 4. (b) If sub-funds are part of the umbrella fund structure, then the LEI of the sub-fund should be reported in field 5 of RTS 23. [1] As defined in Article 4(1)(a) of the AIFMD. [2] As defined in Article 1(2) of the UCITS Directive.
This Q&A is published by European Securities and Markets Authority and is non-binding. It does not constitute legal advice. Updated weekly from official ESA sources.
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