ANNEX
Table 1
Symbol table to be applied to all Tables
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SYMBOL |
DATA TYPE |
DEFINITION |
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{ALPHANUM-n} |
Up to n alphanumerical characters |
Free text field. |
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{COUNTRYCODE_2} |
2 alphanumerical characters |
2-letter country code, as defined by ISO 3166-1 alpha-2 country code |
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{DATE_TIME_FORMAT} |
ISO 8601 date and time format |
Date and time in the following format:
Dates and times shall be reported in UTC. |
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{ISIN} |
12 alphanumerical characters |
ISIN code, as defined in ISO 6166 |
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{LEI} |
20 alphanumerical characters |
Legal entity identifier as defined in ISO 17442 |
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{MIC} |
4 alphanumerical characters |
Market identifier as defined in ISO 10383 |
Table 2
Format of the publication and communication to the relevant competent authority by a trading venue operator of its decision to suspend or remove the financial instrument and related derivatives from trading; and of its decision to lift a suspension of a financial instrument and related derivatives
|
FIELD |
DETAILS TO BE REPORTED |
FORMAT FOR REPORTING |
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Date and time of the publication / communication |
Field to be populated with the date and time of the publication / communication. |
{DATE_TIME_FORMAT} |
|
Action type |
Field to be populated with the action type. |
Suspension, removal, lifting of a suspension. |
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Reasons for the action |
Field to be populated with the reasons for the action |
{ALPHANUM-350} |
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Effective from |
Field to be populated with the date and time from which the action is effective. |
{DATE_TIME_FORMAT} |
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Effective to |
Field to be populated with the date and time until which the action is effective. |
{DATE_TIME_FORMAT} |
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Ongoing |
Field to be populated with true if the action is ongoing or false otherwise. |
‘True’— Action is ongoing ‘False’— Action is not ongoing |
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Trading venue(s) |
Field to be populated with the MIC or MICs of the trading venues(s) or segments thereof to which the action relates. |
{MIC} If multiple MICs have to be provided, this field shall be populated with multiple MICs separated by comma. |
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Issuer name |
Field to be populated with the name of the issuer of the instrument to which the action relates. |
{ALPHANUM-350} |
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Issuer |
Field to be populated with the LEI of the issuer of the instrument to which the action relates. |
{LEI} |
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Instrument identifier |
Field to be populated with the ISIN of the instrument. |
{ISIN} |
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Instrument full name |
Field to be populated with the name of the instrument. |
{ALPHANUM-350} |
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Related derivatives |
Field to be populated with the ISINs of the related derivatives as specified in Commission Delegated Regulation (EU) 2017/569 (1), to which the action also relates. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
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Other related instruments |
Field to be populated with the ISINs of the related derivatives affected by the action. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
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Comments |
Field to be populated with comments. |
{ALPHANUM-350} |
Table 3
Format of the publication and communication by Competent Authorities of the decision to suspend or remove a financial instrument and related derivatives from trading and to lift a suspension of a financial instrument and related derivatives
|
FIELD |
DETAILS TO BE REPORTED |
FORMAT FOR REPORTING |
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Competent authority |
Field to be populated with the acronym of the competent authority doing the publication / communication. |
{ALPHANUM-10} |
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Member State of the competent authority |
Field to be populated with the country code of the Member State of the competent authority doing the publication / communication. |
{COUNTRYCODE_2} |
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Trading venue operator as initiator of the action |
Field to be populated with:
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‘True’— Trading venue initiator ‘False’— Not a trading venue initiator |
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Date and time of the publication / communication |
Field to be populated with the date and time of the publication / communication. |
{DATE_TIME_FORMAT} |
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Action type |
Field to be populated with the action type. |
Suspension, removal, lifting of a suspension. |
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Reasons for the action |
Field to be populated with the reasons for the action. |
{ALPHANUM-350} |
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Effective from |
Field to be populated with the date and time from which the action is effective. |
{DATE_TIME_FORMAT} |
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Effective to |
Field to be populated with the date and time until which the action is effective. |
{DATE_TIME_FORMAT} |
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Ongoing |
Field to be populated with true if the action is ongoing or false otherwise. |
‘True’— Action is ongoing ‘False’— Action is not ongoing |
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Trading venue(s) |
Field to be populated with the MIC or MICs of the trading venues(s) or segments thereof to which the action relates. |
{MIC} If multiple MICs have to be provided, this field shall be populated with multiple MICs separated by comma. |
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Issuer name |
Field to be populated with the name of the issuer of the instrument to which the action relates. |
{ALPHANUM-350} |
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Issuer |
Field to be populated with the LEI of the issuer of the instrument to which the action relates. |
{LEI} |
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Instrument identifier |
Field to be populated with the ISIN of the instrument. |
{ISIN} |
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Instrument full name |
Field to be populated with the name of the instrument. |
{ALPHANUM-350} |
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Related derivatives |
Field to be populated with the ISINs of the related derivatives as specified in Delegated Regulation (EU) 2017/569, to which the action also relates. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
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Other related instruments |
Field to be populated with the ISINs of the related derivatives affected by the action. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
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Comments |
Field to be populated with comments. |
{ALPHANUM-350} |
Table 4
Format of the communication to ESMA and other competent authorities by competent authorities of their decisions on whether to follow a suspension, a removal or a lifting of a suspension
|
FIELD |
DETAILS TO BE REPORTED |
FORMAT FOR REPORTING |
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Competent authority |
Field to be populated with the acronym of the competent authority that communicated the original action. |
{ALPHANUM-10} |
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Member State of the competent authority |
Field to be populated with the country code of the Member State of the competent authority that communicated the original action. |
{COUNTRYCODE_2} |
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Competent authority initiating the current action |
Field to be populated with the acronym of the competent authority following or not following the original action. |
{ALPHANUM-10} |
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Member State of the competent authority initiating the current action |
Field to be populated with the country code of the Member State of the competent authority following or not following the original action. |
{COUNTRYCODE_2} |
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Original action type |
Field to be populated with the type of the original action. |
Suspension, removal, lifting of a suspension. |
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Decision to follow, if applicable |
Field to be populated, if applicable, with:
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‘True’— Action is followed ‘False’— Action is not followed |
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Reasons for the decision not to follow a removal, suspension or lifting thereof, if applicable |
Field to be populated with the reasons for the decision not to follow a removal, suspension or lifting thereof, if applicable. |
{ALPHANUM-350} |
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Date and time of the communication |
Field to be populated with the date and time of the communication of the current action. |
{DATE_TIME_FORMAT} |
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Effective from |
Field to be populated with the date and time from which the current action is effective. |
{DATE_TIME_FORMAT} |
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Effective to |
Field to be populated with the date and time until which the current action is effective. |
{DATE_TIME_FORMAT} |
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Ongoing |
Field to be populated with ‘true’ if the action is ongoing, or ‘false’ otherwise. |
‘True’— Action is ongoing ‘False’— Action is not ongoing |
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Trading venue(s) |
Field to be populated with the MIC or MICs of the trading venues(s) or segments thereof to which the current action relates. |
{MIC} If multiple MICs have to be provided, this field shall be populated with multiple MICs separated by comma. |
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Issuer name |
Field to be populated with the name of the issuer of the instrument to which the action relates. |
{ALPHANUM-350} |
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Issuer |
Field to be populated with the LEI of the issuer of the instrument to which the action relates. |
{LEI} |
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Instrument identifier |
Field to be populated with the ISIN of the instrument. |
{ISIN} |
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Instrument full name |
Field to be populated with the name of the instrument. |
{ALPHANUM-350} |
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Related derivatives |
Field to be populated with the ISINs of the related derivatives as specified in Delegated Regulation (EU) 2017/569, to which the action also relates. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
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Other related instruments |
Field to be populated with the ISINs of the related derivatives affected by the action. |
{ISIN} If multiple ISINs have to be provided, this field shall be populated with multiple ISINs separated by comma. |
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Comments |
Field to be populated with comments. |
{ALPHANUM-350} |
(1) Commission Delegated Regulation (EU) 2017/569 of 24 May 2016 supplementing Directive 2014/65/EU of the European Parliament and of the Council with regard to regulatory technical standards for the suspension and removal of financial instruments from trading (OJ L 87, 31.3.2017, p. 122).