Transaction reporting

(a) The reporting obligations are the same as where Investment Firm A decides to send an order for execution to Investment Firm B. Investment Firm A should populate field 59 with the person or algorithm identifier within their firm that is primarily responsible for using Investment Firm B’s algorithm. Investment Firm A shall not populate a code for Investment Firm B’s algo, only its own information. The scenario is: IF A → IF B (algorithm) → CCP (Trading Venue or Investment Firm) Assuming that Investment Firm A is buying an instrument and dealing on own account trading capacity, and Investment Firm B is acting in “any other” trading capacity, the respective reports should be completed as follows: N Field Investment Firm A’s report Investment Firm B’s report 4 Executing entity identification code {LEI} of Investment Firm A {LEI} of Investment Firm B 7 Buyer identification code {LEI} of Investment Firm A {LEI} of Investment Firm A 16 Seller identification code {LEI} of Investment Firm B {LEI} of CCP 29 Trading capacity ‘DEAL’ ‘AOTC’ 59 Execution within firm Natural person’s ID or code of algorithm within Investment Firm A Code for Investment Firm B’s execution algorithm   (b) No. Investment Firm A’s reporting is the same as specified in a). (c) Yes. Investment Firm B is conducting the activity of executing a client order according to Art. 3 of RTS 22 [1] . The scenario is: IF A → IF B (algorithm) → IF A (membership) → CCP (Trading Venue) Assuming that both Investment Firm A is buying an instrument and dealing on own account, and the subsequent steps in Investment Firm B and A are in “any other” trading capacity, the respective reports should be completed as follows: N Field IF A’s report 1 IF B’s report IF A’s report 2 4 Executing entity identification code {LEI} of Investment Firm A {LEI} of Investment Firm B {LEI} of Investment Firm A 7 Buyer identification code {LEI} of Investment  Firm A {LEI} of Investment Firm A {LEI} of Investment Firm B 16 Seller identification code {LEI} of Investment Firm B {LEI} of Investment Firm A {LEI} of CCP 29 Trading capacity ‘DEAL’ ‘AOTC’ ‘AOTC’ 59 Execution within firm Natural person’s ID or code of algorithm within Investment Firm A Code for Investment Firm B’s execution algorithm ‘NORE’   In order to match Investment Firm B’s reports and reflect its involvement in more than one part of ‘the chain’, Investment Firm A has to submit two reports: one for its trade as a client with Investment Firm B (Report 1).  one for its market-side trade with the Central Counterparty or another Investment Firm (Report 2). [1] Commission Delegated Regulation (EU) 2017/590.