Errors, fields and validation

Error Description

Transactions in TRS Manager can be either valid or invalid. If a transaction is invalid (valid=false) it has incorrect values for one or more properties and needs to be corrected. On an invalid transaction an error message is displayed with information about the error.

Below are examples of error descriptions received from TRS Manager application and their meaning. The number first in every message, represents the line number in the xml for the transaction, which you can see on transaction details in TRS Manager.

  • 4      The 'ExctgPty' element is invalid - The value '' is invalid according to its datatype 'LEIIdentifier' - The Pattern constraint failed. 
    The element that is called 'ExctgPty' (Executing Party) in the xml is incorrect. This should be a LEI-number but it is empty.

  • 7      The element 'Buyr' in namespace has incomplete content. List of possible elements expected: 'AcctOwnr' in namespace . 
    The element that is called 'Buyr' (Buyer) is incorrect. In this case it is missing the value 'AcctOwnr' (AccountOwner).

  • 16    The element 'Qty' in namespace has invalid child element 'Unknown_Quantity_Format' in namespace . List of possible elements expected: 'Unit, NmnlVal, MntryVal' in namespace .
    The element that is called 'Qty' (Quantity) is incorrect, it is missing which type of quanity, can be either 'Unit', 'NmnlVal' or 'MntryVal'.

  • 24    The 'TradVn' element is invalid - The value '' is invalid according to its datatype 'MICIdentifier' - The Pattern constraint failed.
    The element 'TradVn' is empty but it should contain a MIC code.

  • 28    The 'Id' element is invalid - The value 'ABC123' is invalid according to its datatype 'ISINOct2015Identifier' - The Pattern constraint failed. 
    The element called 'Id' is incorrect. Here we get no information about which element this belongs to but the datatype called 'ISINOct2015Identifier' gives us a hint that it should be a valid ISIN code and 'ABC123' is not a valid ISIN.

  • 34    The element 'ExctgPrsn' in namespace has invalid child element 'Unknown_IdentificationCodeType' in namespace . List of possible elements expected: 'Prsn, Algo, Clnt' in namespace .
    The element 'ExctgPrsn' (Executing person) has an unknown code, it should be either 'Prsn, Algo or Clnt'.

Codes - Quick guide

In this section the code from the error description is listed together with its full name, where it can be found in the TRS Manager and a link to read more about validation and format of the different values.

Element from error messageFull name of fieldIn TRS ManagerRead more

AcctOwnr

Account Owner

Transaction > BUYER Account Owners

Transaction > SELLER Account Owners

Buyer & Seller

AddtlAttrbtsAdditional attributes

Transaction > Indicators > OTC Post-trade

Transaction > Indicators > Waiver indicator

Transaction > Securities financing transaction indiciator

OTC Post-trade indicator

Waiver indicator

Securities financing transaction indiciator

AlgoAlgorithm

Transaction > Trade > Investment Decision Within Firm

Transaction > Firm > Execution Within Firm

Investment decision within firm

Execution within firm

BirthDtBirth date

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Buyer & Seller

Buyer & Seller Decision maker

BsisPtsBasis pointsTransaction > Trade > Price FormatPrice & Price currency
BuyrBuyerTransaction > BuyerBuyer & Seller
CdCode

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Transaction > Firm > Execution Within Firm

Transaction > Firm > Investment Decision Within Firm

Buyer & Seller

Buyer & Seller Decision maker

Execution within firm

Investment decision within firm

ClntClientTransaction > Firm > Execution Within FirmExecution within firm
CtryOfBrnchCountry of branch

Transaction > Buyer / Seller > Account Owners

Transaction > Firm > Execution Within Firm

Transaction > Firm > Investment Decision Within Firm

-

Buyer & Seller

Execution within firm

Investment decision within firm

Country of the branch membership

DcsnMakrDecision makerTransaction > Buyer / Seller > Decision MakerBuyer & Seller Decision maker
DerivNtnlChngDerivative notional change-Derivative notional increase/decrease
ExctgPrsnExecuting personTransaction > Firm > Execution Within FirmExecution within firm
ExctgPtyExecuting partyTransaction > Execution > Executing Party LEIExecuting party
FinInstrmFinancial instrumentTransaction > InstrumentInstrument identification code
FrstNmFirst name

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Buyer & Seller

Buyer & Seller Decision maker

IdId

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Transaction > Instrument

Transaction > Firm > Execution Within Firm

Transaction > Firm > Investment Decision Within Firm

Buyer & Seller

Buyer & Seller Decision maker

Instrument Identification Code

Execution within firm

Investment decision within firm

IntlInternal

Transaction > Buyer / Seller

Buyer & Seller
InvstmtDcsnPrsnInvestment decision personTransaction > Firm > Investment Decision Within FirmInvestment decision within firm
LEILEI identifier

Transaction > Buyer / Seller

Transaction > Buyer / Seller > Decision Maker

Buyer & Seller

Buyer & Seller Decision maker

MICMIC identifierTransaction > Buyer / SellerBuyer & Seller

MntryVal

Monetary value

Transaction > Trade > Quantity Format

Transaction > Trade > Price Format

Quantity & Quantity currency

Price & Price currency

NetAmtNet amountTransaction > Trade > Net AmountNet amount
NmName

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Buyer & Seller

Buyer & Seller Decision maker

NmnlValNominal value

Transaction > Trade > Quantity Format

Quantity & Quantity currency
NoPricNo priceTransaction > Trade > Price FormatPrice & Price currency
OTCPstTradIndOTC Post-trade indicatorTransaction > Indicators > OTC Post-tradeOTC Post-trade indicator
OthrOther

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Transaction > Firm > Execution Within Firm

Transaction > Firm > Investment Decision Within Firm

Buyer & Seller

Buyer & Seller Decision maker

Execution within firm

Investment decision within firm

PctgPercentageTransaction > Trade > Price FormatPrice & Price currency
PdgPendingTransaction > Trade > Price FormatPrice & Price currency

Pric

PriceTransaction > Trade > PricePrice & Price currency
PrsnPerson

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Transaction > Firm > Execution Within Firm

Transaction > Firm > Investment Decision Within Firm

Buyer & Seller

Buyer & Seller Decision maker

Execution within firm

Investment decision within firm

PrtryProprietary

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Transaction > Firm > Investment Decision Within Firm

Buyer & Seller

Buyer & Seller Decision maker

Investment decision within firm

QtyQuantityTransaction > Trade > QuantityQuantity & Quantity currency
SchmeNmScheme name

Transaction > Buyer / Seller > Account Owners

Transaction > Buyer / Seller > Decision Maker

Transaction > Firm > Execution Within Firm

Transaction > Firm > Investment Decision Within Firm

Buyer & Seller

Buyer & Seller Decision maker

Execution within firm

Investment decision within firm

SctiesFincgTxIndSecurities financing trancation indicatorTransaction > Securities financing transaction indiciatorSecurities financing transaction indiciator
SellrSellerTransaction > SellerBuyer & Seller
ShrtSellgIndShort sell indicatorTransaction > Trade > Short SellingShort sell indicator
SubmitgPtySubmitting partyTransaction > Execution > Submitting Party LEISubmitting party
TradDtTrade dateTransaction > Execution > Trading Date TimeTrading date time
TradgCpctyTrading capacityTransaction > Execution > Trading CapacityTrading capacity
TradPlcMtchgIdTrading venue transaction identification codeTransaction > Execution > Trading venue transaction identification codeTrading venue transaction identification code
TradVnTrading venueTransaction > Execution > Trading VenueTrading Venue
TxIdTransaction reference numberTransaction > External Transaction IdTransactionReference Number
UnitUnitTransaction > Trade > Quantity FormatQuantity & Quantity currency
WvrIndWaiver indicatorTransaction > Indicators > Waiver indicatorWaiver indicator
YldYieldTransaction > Trade > Price FormatPrice & Price currency

Fields and validation

In this section fields are listed with information about their format, validation, where it can be found in Bricknode Broker and more.

Report status

Indication as to whether the transaction report is new or a cancellation.

FSA NoField nameFormatIn Bricknode BrokerTradeTransferImport FileXML ElementMandatory
1Report status

‘NEWT' - New transaction

‘CANC’ - Cancellation transaction

----

<New>

<Cxl>

Yes

Transaction Reference Number

Identification number that is unique to the executing firm for each transaction report. Transaction id for the TRS transaction.

Where, pursuant to Article 26(5) of Regulation (EU) No 600/2014, a trading venue submits a transaction report on behalf of a firm that is not subject to Regulation (EU) No 600/2014, the trading venue shall populate this field with a number that has been internally generated by the trading venue and that is unique for each transaction report submitted by the trading venue.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
2Transaction Reference Number{ALPHANUM-52}Transaction GUIDYesYesB

<TxId>123456789</TxId>

Yes

Trading Venue & Trading Venue Transaction Identification Code

This is a number generated by trading venues and disseminated to both the buying and the selling parties in accordance with Article 12 of [RTS 24 on the maintenance of relevant data relating to orders in financial instruments under Article 25 of Regulation 600/2014 EU].

This field is only required for the market side of the transaction executed on a trading venue.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
36Trading venue

{MIC}

'XOFF'

'XXXX'

Places > MICYesNoY<TradVn>Yes
3Trading venue transaction identification code{ALPHANUM-52}-YesNoZ<TradPlcMtchgId>If Trading Venue is other than 'XOFF' or 'XXXX'

Executing party

Identification of the entity executing the transaction.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
4Executing party{LEI}House > DetailsYesYes-<ExctgPty>Yes

Submitting party

Entity submitting the transaction report to the competent authority.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
6Submitting party{LEI}House > DetailsYesYes-<SubmitgPty>Yes

Buyer & Seller

The buyer and seller of a transaction, usually the owner of the account.

Buyer & Seller Identification Code

The identification code for the buyer or seller. Could be one of the following:

  • LEI is used when it is a judicial person
  • MIC is when the venue is outside of the union
  • NID is used when it is a physical person
  • INTC is used when the deal is passed through an own portfolio
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory

7

Buyer Identification Code

{LEI}

{MIC}

{NATIONAL_ID}

'INTC'

Person > DetailsYesYes

D

<Buyr><AcctOwnr><Id>

  • <LEI>
  • <MIC>
  • <Prsn>...<Othr><id>...<SchmeNm><Cd>NIDN/CCPT
  • <Prsn>...<Othr><id>...<SchmeNm><Prtry>CONCAT
  • <Intl>INTC
Yes
16Seller Identification Code

{LEI}

{MIC}

{NATIONAL_ID}

'INTC'

Person > DetailsYesYesO

<Sellr><AcctOwnr><Id>

  • <LEI>
  • nä>
  • <Prsn>...<Othr><id>...<SchmeNm><Cd>NIDN/CCPT
  • <Prsn>...<Othr><id>...<SchmeNm><Prtry>CONCAT
  • <Intl>INTC
Yes
Buyer & Seller Country of Branch

Where the acquirer is a client, this field shall identify the country of the branch that received the order from the client or made an investment decision for a client in accordance with a discretionary mandate given to it by the client as required by Article 14(3). Where this activity was not conducted by a branch this shall be populated with the country code of the home Member State of the investment firm or the country code of the country where the investment firm has established its head office or registered office (in the case of third country firms). Where the transaction is for a transmitted order that has met the conditions for transmission set out in Article 4, this field shall be populated using the information received from the transmitting firm.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory

8

Country of the branch for the buyer

{COUNTRYCODE_2}Person > DetailsOptionalOptional

-

<CtryOfBrnch>No
17Country of the branch for the seller{COUNTRYCODE_2}Person > DetailsOptionalOptional-<CtryOfBrnch>No
Buyer & Seller First name

Full first name(s) of the buyer or seller. In case of more than one first name, all names shall be included in this field separated by a comma.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory

9

Buyer - first name(s)

{ALPHANUM-140}Person > DetailsOptionalOptional

F

<FrstNm>If Id code is {NATIONAL_ID}
18Seller - first name(s){ALPHANUM-140}Person > DetailsOptionalOptionalQ<FrstNm>If Id code is {NATIONAL_ID}
Buyer & Seller Last name

Last name(s) of the buyer or seller.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory

10

Buyer - surname(s)

{ALPHANUM-140}Person > DetailsOptionalOptional

G

<Nm>If Id code is {NATIONAL_ID}
19Seller - surname(s){ALPHANUM-140}Person > DetailsOptionalOptionalR<Nm>If Id code is {NATIONAL_ID}
Buyer & Seller Date of birth

Date of birth of the buyer & seller.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory

11

Buyer - date of birth

{DATEFORMAT} YYYY-MM-DDPerson > DetailsOptionalOptional

H

<BirthDt>If Id code is {NATIONAL_ID}
20Seller - date of birth{DATEFORMAT} YYYY-MM-DDPerson > DetailsOptionalOptionalS<BirthDt>If Id code is {NATIONAL_ID}

Buyer & Seller Decision maker

Only used when the decision maker is other then the owner of the account (Buyer/Seller).

Buyer & Seller decision maker - Code

Code used to identify the person who makes the decision to acquire the financial instrument. Where the decision is made by an investment firm, this field shall be populated with the identity of the investment firm rather than the individual making the investment decision. Where the decision maker is a legal entity, the LEI code of the decision maker shall be used. Where the decision maker is a non-legal entity, the identifier specified in Article 6 shall be used.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
12Buyer decision maker code

{LEI}

{NATIONAL_ID}

Person > Details /
House > Details
OptionalOptionalI<DcsnMakr>
  • <LEI>
  • <Prsn>...<Othr><id>...<SchmeNm><Cd>NIDN/CCPT
  • <Prsn>...<Othr><id>...<SchmeNm><Prtry>CONCAT
No
21Seller decision maker code

{LEI}

{NATIONAL_ID}

Person > Details /
House > Details
OptionalOptionalT

<DcsnMakr>

  • <LEI>
  • <Prsn>...<Othr><id>...<SchmeNm><Cd>NIDN/CCPT
  • <Prsn>...<Othr><id>...<SchmeNm><Prtry>CONCAT
No
Buyer & Seller decision maker - First name
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
13Buyer decision maker - First Name(s){ALPHANUM-140}Person > Details /
House > Details
OptionalOptionalK<FrstNm>No
22Seller decision maker - First Name(s){ALPHANUM-140}Person > Details /
House > Details
OptionalOptionalV<FrstNm>No
Buyer & Seller decision maker - Surname
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
14Buyer decision maker - Surname(s){ALPHANUM-140}Person > Details /
House > Details
OptionalOptionalL<Nm>No
23Seller decision maker - Surname(s){ALPHANUM-140}Person > Details /
House > Details
OptionalOptionalW<Nm>No
Buyer & Seller decision maker - Date of birth
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
15Buyer decision maker - Date of birth{DATEFORMAT} 
YYYY-MM-DD
Person > Details /
House > Details
OptionalOptionalM<BirthDt>No
24Seller decision maker - Date of birth{DATEFORMAT}
YYYY-MM-DD
Person > Details /
House > Details
OptionalOptionalX<BirthDt>No

Trading date time

Date and time when the transaction was executed. For transactions executed on a trading venue, the level of granularity shall be in accordance with the requirements set out in Article 3 [RTS 25 on clock synchronization under article 50 of Directive 2014/65/EU ]. For transactions not executed on a trading venue, the date and time shall be when the parties agree the content of the following fields: quantity, price, currencies in fields 31, 34 and 44, instrument identification code, instrument classification and underlying instrument code, where applicable. For transactions not executed on a trading venue the time reported shall be at least to the nearest second. Where the transaction results from an order transmitted by the executing firm on behalf of a client to a third party where the conditions for transmission set out in Article 4 were not satisfied, this shall be the date and time of the transaction rather than the time of the order transmission.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
28Trading date time{DATE_TIME_FORMAT}
YYYY-MM-DD HH:MM:SS.MMM
Fill / Execute orderYesYesAA<TradDt>Yes

Trading capacity

Indication of whether the transaction results from the executing firm carrying out matched principal trading under Article 4(38) of Directive 2014/65/EU or dealing on own account under Article 4(6) of Directive 2014/65/EU. Where the transaction does not result from the executing firm carrying out matched principal trading or dealing on own account, the field shall indicate that the transaction was carried out under any other capacity.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
29Trading capacity‘DEAL’ - Dealing on own account
‘MTCH’ - Matched principal
‘AOTC’ - Any other capacity
Fill / Execute orderYesYesAB<TradgCpcty>Yes

Quantity & Quantity currency

The number of units of the financial instrument, or the number of derivative contracts in the transaction. The nominal value of the financial instrument like bonds and bills. The monetary value of the financial instrument. For spread bets, the quantity shall be the monetary value wagered per point movement in the underlying financial instrument. For credit default swaps, the quantity shall be the notional amount for which the protection is acquired or disposed of. For increase or decrease in notional amount derivative contracts, the number shall reflect the absolute value of the change and shall be expressed as a positive number. The information reported in this field shall be consistent with the values provided in fields 33 and 46.

Quantity currency is only applicable if quantity is expressed as nominal or monetary value. The value represents in which the quantity is expressed.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
30Quantity'Unit' = {DECIMAL-18/17} in case the quantity is expressed as number of units
'MntryVal' = {DECIMAL-18/5} in case the quantity is expressed as monetary value
'NmnlVal' = {DECIMAL-18/5} in case the quantity is expressed as nominal value
Fill / Execute orderYesNoAG & AH

<Qty>
   <Unit>10000</Unit>
</Qty>

<Qty>
   <MntryVal Ccy="EUR">20000</MntryVal>
</Qty>

<Qty>
   <NmnlVal Ccy="EUR">30000</NmnlVal>
</Qty>

If trade
31Quantity currency{CURRENCYCODE_3}InstrumentYesNoAI

<Qty>
   <MntryVal Ccy="EUR">20000</MntryVal>
</Qty>

<Qty>
   <NmnlVal Ccy="EUR">30000</NmnlVal>
</Qty>

If Quantity =  MntryVal or NmnlVal

Derivative notional increase/decrease

Indication as to whether the transaction is an increase or decrease of notional of a derivative contract. Field only applies when there is change in notional for a derivative contract.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
32Derivative notional increase/decrease‘INCR’ - Increase
‘DECR’ - Decrease
Order / DealNoNoAN<DerivNtnlChng>No

Price & Price currency

Traded price of the transaction excluding, where applicable, commission and accrued interest. In the case of option contracts, it shall be the premium of the derivative contract per underlying or index point. In the case of spread bets it shall be the reference price of the underlying instrument. For credit default swaps (CDS) it shall be the coupon in basis points. Where price is reported in monetary terms, it shall be provided in the major currency unit. Where price is currently not available but pending, the value shall be ’PNDG’. Where price is not applicable the value shall be 'NOAP'. The information reported in this field shall be consistent with the values provided in fields 30 and 46.

Currency in which the price is expressed. Only applicable if Price is expressed as monetary value.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
33Price'MntryVal' = {DECIMAL-18/13} in case the price is expressed as monetary value
'Pctg' = {DECIMAL-11/10} in case the price is expressed as percentage
'Yld' = {DECIMAL-11/10} in case the price is expressed as yield
'BsisPts' = {DECIMAL-18/17} in case the price is expressed as basis points
’PNDG’ in case the price is not available
‘NOAP’ in case the price is not applicable
Order / DealYes'NOAP'AJ & AK

<Pric>...

  • <MntryVal>
  • <Pctg>
  • <Yld>
  • <BsisPts>
  • <NoPric><Pdg>PNDG
  • <NoPric><Pdg>NOAP
Yes
34Price currency{CURRENCYCODE_3}Order / DealYesNoAL

<Pric>
   <MntryVal>
      <Amt Ccy="SEK">99</Amt>
   </MntryVal>
<Pric>

If Price = MntryVal

Net amount

The net amount of the transaction means the cash amount which is paid by the buyer of the debt instrument upon the settlement of the transaction. This cash amount equals to: (clean price * nominal value) + any accrued coupons. As a result, the net amount of the transaction excludes any commission or other fees charged to the buyer of the debt instrument.

Field only applies when the financial instrument is debt (nominal value).

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
35Net amount{DECIMAL-18/5}Order / DealYesNoAM<NetAmt>If nominal value

Country of the branch membership

Code used to identify the country of a branch of the investment firm whose market membership was used to execute the transaction. Where a branch’s market membership was not used, this field shall be populated with the country code of the home Member State of the investment firm or the country code of the country where the firm has established its head office or registered office (in the case of third country firms).

This field shall only be populated for the market side of a transaction executed on a trading venue or on an organised trading platform outside of the Union.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
37Country of branch membership{COUNTRYCODE_2}House detailsYesNo-<CtryOfBrnch>If trade

Instrument identification code

Code used to identify the financial instrument. This field applies to financial instruments for which a request for admission to trading has been made, that are admitted to trading or traded on a trading venue or on a systematic internaliser. It also applies to financial instruments which have an ISIN and are traded on organised trading platform outside of the Union where the underlying is a financial instrument traded on a trading venue.

Only instruments that are with an ISIN that exists on the reference data list from ESMA are supported by BFS / TRS Manager. This means that fields 42 - 56 are not supported, for more information see ESMA documentation.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
41Instrument identification code{ISIN}InstrumentYesYesAC<FinInstrm>
   <Id>SE0000115446</Id>
</FinInstrm>
Yes

Investment decision within firm

Code used to identify the person or algorithm within the investment firm who is responsible for the investment decision. For natural persons, the identifier specified in Article 6 shall be used. If the investment decision was made by an algorithm, the field shall be populated as set out in Article 8. Field only applies for investment decision within the firm. Where the transaction is for a transmitted order that has met the conditions for transmission set out in Article 4, this field shall be populated by the receiving firm within the receiving firm’s report using the information received from the transmitting firm.

Country code is used to identify the country of the branch of the investment firm for the person responsible for the investment decision, as set out in Article 14(3)(b). Where the person responsible for the investment decision was not supervised by a branch, this field shall be populated with the country code of the home Member State of the investment firm or the country code of the country where the firm has established its head office or registered office (in the case of third country firms). Where the transaction is for a transmitted order that has met the conditions for transmission set out in Article 4, this field shall be populated by the receiving firm within the receiving firm’s report using the information received from the transmitting firm. This field is not applicable when the investment decision was made by an algorithm.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
57Investment decision within firm

{NATIONAL_ID} - Natural persons

{ALPHANUM-50} - Algorithms

'CONCAT'

Person > Details /
House > Details
YesYesAP & AQ<InvstmtDcsnPrsn>...
  • <Algo>
  • <Othr><Id><SchmeNm><Cd>NIDN
  • <Othr><Id><SchmeNm><Cd>CCPT
  • <Othr><Id><SchmeNm><Prtry>CONCAT
Field must always be populated where the entity deals on own account (i.e. value 'DEAL' populated in column AB) and the firm does not act as a receiving firm (fields 26, Transmitting firm ID buyer, or 27, Transmitting firm ID seller, are not populated).
58Country of branch responsible for the person making the investment decision{COUNTRYCODE_2}Person > Details /
House > Details
OptionalYesAR<CtryOfBrnch>if Investment decision within firm = National_id

Execution within firm

Code used to identify the person or algorithm within the investment firm who is responsible for the execution. For natural persons, the identifier specified in Article 7 shall be used. If the execution was made by an algorithm, the field shall be populated as set out in Article 9.

Country code is used to identify the country of the branch of the investment firm for the person responsible for the execution of the transaction, as set out in Article 14(3)(c). Where the person responsible was not supervised by a branch, this field shall be populated with the country code of the home Member State of the investment firm, or the country code of the country where the firm has established its head office or registered office (in the case of third country firms). This field is not applicable when the execution was made by an algorithm.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
59Executing person

{NATIONAL_ID} - Natural persons

{ALPHANUM-50} - Algorithms

'CLIENT'

Person > Details /
House > Details
YesCLIENT/NOREAT & AU

Trader did the work:

<ExctgPrsn>
   <Prsn>…
      <Othr>
         <Id>CA1112223334445555</Id>
         <SchmeNm>
            <Cd>CCPT</Cd>
         </SchmeNm>
      </Othr>
   </Prsn>
</ExctgPrsn>

Algorithm:

<ExctgPrsn>
   <Algo>ALGO12345</Algo>
</ExctgPrsn>

Client, direct from internet:

<ExctgPrsn>
   <Clnt>NORE</Clint>
</ExctgPrsn>

Yes
60Country of branch supervising the person responsible for the execution
Person > Details /
House > Details
YesCLIENT/NOREAV<CtryOfBrnch>If trade

Waiver indicator

Indication as to whether the transaction was executed under a pre-trade waiver in accordance with Articles 4 and 9 of Regulation (EU) No 600/2014. If populated, one or more values can be selected.

For equity instruments:

  • ‘RFPT’ = Reference price transaction
  • ‘NLIQ’ = Negotiated transactions in liquid financial instruments
  • ‘OILQ’ = Negotiated transactions in illiquid financial instruments
  • ‘PRIC’ = Negotiated transactions subject to conditions other than the current market price of that equity financial instrument.

For non-equity instruments:

  • ‘SIZE’ = Above specific size transaction
  • ‘ILQD’ = Illiquid instrument transaction This field shall only be populated for the market side of a transaction executed under a waiver on a trading venue.
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
61Waiver indicator

‘RFPT’
‘NLIQ’ 
‘OILQ’
‘PRIC’
‘SIZE’
‘ILQD’

Fill / Execute orderOptionalNoAY

<AddtlAttrbts>
   <WvrInd></WvrInd>
</AddtlAttrbts>

No

Short selling indicator

A short sale concluded by an investment firm on its own behalf or on behalf of a client, as described in Article 11. Where the transaction is for a transmitted order that has met the conditions for transmission set out in Article 4 of this Regulation, this field shall be populated by the receiving firm in the receiving firm’s reports using the information received from the transmitting firm. This field is only applicable when, the instrument is covered by Regulation (EU) No 236/2012, and the seller is the investment firm or a client of the investment firm. Only  values:

  • ‘SESH’ - Short sale with no exemption
  • ‘SSEX’ - Short sale with exemption
  • ‘SELL’ - No short sale
  • ‘UNDI’ – Information not available

When an investment firm executes a transaction on behalf of a client who is selling and the investment firm, acting on a best effort basis, cannot determine whether it is a short sale transaction, this field shall be populated with ‘UNDI’.

FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
62Short selling indicator‘SESH’
‘SSEX’
‘SELL’
‘UNDI’
Fill / Execute orderOptionalNoAW<AddtlAttrbts>
   <ShrtSellgInd></ShrtSellgInd>
</AddtlAttrbts>
No

OTC post-trade indicator

Indicator as to the type of transaction in accordance with Articles 20(3)(a) and 21(5)(a) of Regulation (EU) No 600/2014. If populated, one or more values can be selected.

For all instruments:

  • ‘BENC’ = Benchmark transactions
  • ‘ACTX’ = Agency cross transactions
  • ‘LRGS’ = Post-trade large-in-scale transactions
  • ‘ILQD’ = Illiquid instrument transaction
  • ‘SIZE’ = Above specific size transaction
  • ‘CANC’ = Cancellations
  • ‘AMND’ = Amendments

For equity instruments:

  • ‘SDIV’ = Special dividend transactions
  • ‘RPRI’ = Transactions which have received price improvement
  • ‘DUPL’= Duplicative trade reports
  • ‘TNCP’ = Transactions not contributing to the price discovery process for the purposes of Article 23 of Regulation (EU) No 600/2014

For non-equity instruments:

  • ‘TPAC’ = Package transaction
  • ‘XFPH’ = Exchange for Physical transaction
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
63OTC post-trade indicator

‘BENC’
‘ACTX’
‘LRGS’
‘ILQD’
‘SIZE’
‘CANC’
‘AMND’
‘SDIV’
‘RPRI’
‘DUPL’
‘TNCP’
‘TPAC’
‘XFPH’

Fill / Execute orderOptionalNoAX<AddtlAttrbts>
   <OTCPstTradInd></OTCPstTradInd>
</AddtlAttrbts>
No

Securities financing transaction indicator

Indicates whether the transaction falls within the scope of activity to be reported under the Securities Financing Transactions Regulation. This is default set to true on all transactions imported from Bricknode Broker or Excel. Possible values are:

  • ‘true’ = where the transaction falls within the scope of activity but is exempted from reporting under Securities Financing Transactions Regulation.
  • ‘false’ = otherwise.
FSA No
Field
Format
In Bricknode BrokerTradeTransferImport fileXML ElementMandatory
65Securities financing transaction indiciator

'true' - yes

'false' - no

----<AddtlAttrbts>
   <SctiesFincgTxInd></SctiesFincgTxInd>
</AddtlAttrbts>
Yes