7. The First Schedule to the principal Regulations is amended —(a) | by deleting the Schedule reference and substituting the following Schedule reference:“Regulation 11(1), (2) and (4), Second Schedule and Third Schedule”; |
| (b) | by deleting items 1, 2 and 3 in Part I and substituting the following items:“ | | Unique transaction identifier (UTI) |
| An identifier to denote the transaction. |
For a cleared contract, the specified person must, where the central counterparty (CCP) supplies the UTI to the specified person, report the UTI. |
For an uncleared contract that is electronically confirmed, the specified person must, where the electronic confirmation platform supplies the UTI to the specified person, report the UTI. |
For an uncleared contract that is not electronically confirmed and is entered into before 1 February 2016, the specified person must report a UTI to be agreed on with the counterparty to the contract or a UTI that is internally generated. |
For an uncleared contract that is not electronically confirmed and is entered into on or after 1 February 2016, the specified person must report the UTI to be agreed on with the counterparty to the contract. |
Field value: Alphanumeric string. |
| | | Unique product identifier (UPI) |
| An identifier to denote the product type (e.g. ISDA product taxonomy). |
Field value: Alphanumeric string. |
| | | Previous UTI (where applicable) |
| To denote the previous UTI relating to this contract. |
Field value: Alphanumeric string. |
| | | Identifier of counterparty 1 |
| An identifier of counterparty 1. |
Where counterparty 1 is a specified person, to use LEI or pre-LEI if LEI is not available. |
Where counterparty 1 is not a specified person, to use LEI or pre‑LEI if LEI is not available or, if counterparty 1 does not have any LEI or pre‑LEI, to use SWIFT BIC code, AVOX ID, any identifier issued by a licensed trade repository or licensed foreign trade repository, or client code. |
In the case of individuals, to use a client code. |
Field value: Alphanumeric string. |
| | | Identifier of counterparty 2 |
| An identifier of counterparty 2. |
Where counterparty 2 is a specified person, to use LEI or pre‑LEI if LEI is not available. |
Where counterparty 2 is not a specified person, to use LEI or pre‑LEI if LEI is not available or, if counterparty 2 does not have any LEI or pre‑LEI, to use SWIFT BIC code, AVOX ID, any identifier issued by a licensed trade repository or licensed foreign trade repository, or client code. |
In the case of individuals, to use a client code. |
Field value: Alphanumeric string. |
| | | Identifier of reporting entity |
| To denote the identity of the reporting entity. |
To use LEI or pre‑LEI if LEI is not available. |
Field value: Alphanumeric string. |
| | | Whether the contract has been cleared |
| To denote if the contract has been cleared. |
Field value: “True” or “False”. |
| | | Identifier of clearing entity (where applicable) |
| To denote the identity of the clearing entity. |
To use LEI or pre‑LEI if LEI is not available. |
Field value: Alphanumeric string. |
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| (c) | by inserting, immediately after Part I, the following Part:“PART IAADDITIONAL DERIVATIVES INFORMATION TO BE REPORTED FOR ALL CLASSES OF SPECIFIED DERIVATIVES CONTRACTS |
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| | Description of data field |
| 1. | Counterparty information |
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| Trading capacity of specified person |
| To denote trading capacity of specified person. |
Field value: “Principal” or “Agent”. |
| | Identifier of beneficiary |
| To denote the identity of the beneficiary of the contract. |
Where the contract is executed via a structure representing a number of beneficiaries such as a trust or a fund, the beneficiary must be identified as that structure (i.e. as the trust or fund). |
Where the beneficiary is a legal entity, to use LEI or pre‑LEI if LEI is not available. |
Where the beneficiary is a collective investment scheme (CIS) or real estate investment trust (REIT), the beneficiary must be identified by the applicable OPERA II scheme number. |
Where the beneficiary is an individual, to report the client code assigned by the specified person. |
Field value: Alphanumeric string. |
| | Reporting obligation of specified person |
| To indicate the jurisdiction to which the specified person has a reporting obligation. |
| | | The date when the contract is confirmed. |
| | Whether the contract is electronically confirmed |
| To indicate whether the contract is electronically confirmed. |
Field value: “Electronic”, “Non‑electronic” or “Not Confirmed”. |
| | Identifier of execution venue (where applicable) |
| Identifier of execution venue. To denote “SEF”, “DCM”, “Off‑Facility” or LEI of the execution venue if applicable. |
To use LEI or pre‑LEI if LEI is not available. |
Field value: Alphanumeric string. |
| | Delivery type (where applicable) |
| To indicate whether the contract is settled physically or in cash. |
Field value: “Cash”, “Physical” or “Election”. |
| | | The currency to be delivered. |
Field value: ISO currency code. |
| | Mark-to-market or mark‑to‑model value of contract |
| To denote the mark‑to‑market or mark‑to‑model value of the contract. |
Field value: Any valid number. |
| | Currency of mark‑to‑market or mark‑to‑model value |
| Currency in which the mark‑to-market or mark‑to‑model value of the contract is expressed. |
Field value: ISO currency code. |
| | | To denote if the contract is mark‑to‑market or mark‑to‑model. |
Field value: “Mark‑to‑market” or “Mark‑to‑model”. |
| | Date and time of valuation |
| Date and time of the last mark‑to‑market or mark‑to‑model valuation. |
| | | The date of execution of the contract. |
| | Clearing date (where applicable) |
| Where the contract is cleared, the date when the clearing took place. |
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”; and |
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| (d) | by inserting, immediately after Part III, the following Part:“PART IVDERIVATIVES INFORMATION TO BE REPORTED FOR Foreign Exchange DERIVATIVES CONTRACTS |
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| | Description of data field |
| | | The notional amount of the first underlying currency. |
Field value: Any valid number. |
| | | The notional currency payable by specified person. |
Field value: ISO currency code. |
| | | The notional amount of the second underlying currency. |
Field value: Any valid number. |
| | | The notional currency payable by the counterparty. |
Field value: ISO currency code. |
| | | The exchange rate of the currencies of the contract. |
Field value: Any valid number. |
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