Yearly Archives: 2017

U.S. – SEC Form N-PORT Filing Rules

On 8 December,  SEC revised approach to Form N-Port filing requirement. Amended pending rule for investment companies to file form N-Port electronically. Follows SEC November 2016 liquidity risk reporting rules with Forms N-PORT. Report information on their monthly portfolio holdings in a structured data format. Pending SEC continuation of announced review, to strengthen EDGAR and…
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Sweden – SFI Trade Reporting for MiFID

On 5 December, SFI issued notice on MiFID trade reporting, orders, clock. Confirms compliance with ESMA guidelines under MiFID II, re: supervisory practice. Guidelines on transaction reporting, registration of order and clock synchronization. Guidelines apply to investment firms, trading venues, ARMs, competent authorities. Designed to ensure the uniform application of the requirements, focus especially on…
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Spain – CNMV Trade Reports MIFID

On 7 December, CNMV updated trade reporting guide for MiFID/MiFIR. CNMV updated operational communication guide for MiFIR, first issued September 2017. Revisions included more detailed clarification on remission of files from the CNMV. Changes in validation error codes at file level; controls at the entity and file level. New error code, and new value in different states…
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France – AMF MiFID Position Limits

On 6 December, AMF issued rules for position limits on Euronext and Powernext. Covers position limits under MiFID/MiFIR for commodity derivatives traded on Euronext etc. Euronext Sets limits for Wheat, Rapeseed, Corn, Canola, UAN 30 nitrogen solution as traded in lots. Size of lots depends on open position, maturity at deadline and 21 days before…
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