Sheet 1: Guidelines

	
	
	

		

 
		
		


	
	

		
	

		
	

		


	
	

		
Contents
		


	
	

		
Template
		
Information conveyed
	
	

		
General Information
		
Identification, MiFID services and activities and reporting specifications
	
	

		
Quantitative Information
		
K-factors, Solvency, Liquidity, Transaction data 
	
	

		


		


	
	

		
How to report the data
		


	
	

		


		


	
	

		
Scope
		


	
	

		
- MIFiD investment firms, including those that are expected to fall under the scope of MiFID II. It excludes UCITS/AIFMD firms conducting MiFID activities or services.
		
	

		
- The exercise addresses firms authorised by competent authorities in their jurisdiction, i.e. excluding firms operating in a Member State through outward MiFID passport. 
		
	

		


		


	
	

		
Scope of consolidation
		


	
	

		
Data shall be submitted on a solo basis. If a firm wishes to report consolidated data, it should submit two sets of templates: one for solo and another for consolidated data.
		
	

		


		


	
	

		
Reference date
		


	
	

		
The reference date should refer to 31 December 2015 and 31 December  2016, unless otherwise stated.
		
	

		
In case data is not available for these reference periods, please amend the reference date in the "General information" sheet.
		
	

		


		


	
	

		
Detailed instructions
		


	
	

		
Please refer to the instructions document for more detailed and comprehensive guidelines on how to report the data, and variable definitions.
		
	

		


		


	
	

		


		


	
	

		
Symbol conventions
		


	
	

		
Please use full description with no symbols as indicated below:
		


	
	

		
Meaning
		


	
	

		
Not available 
		


	
	

		
Not applicable
		


	
	

		


		


	
	

		
Please use a dot (.) as the decimal separator. 
		


	
	

		


		


	
	

		
Deadline for submission
		


	
	

		
Thursday, August 03, 2017
		


	



Sheet 2: General_Information

	
	
	
	
	
	

		


		

 
		
		


		


		


	
	

		


		


		


		


	
	

		


		


		


		


	
	

		


		


		


		


	
	

		


		


		


		


	
	

		


		
Part 1: General Information
		


		


		


	
	

		


		


		


		


		


	
	

		
A
		
Identification and organization
		


		


		


	
	

		


		


		
Answer
		
Check
		
Comments
	
	

		
A.1
		
Firm name
		


		
Please enter a name
		


	
	

		
A.2
		
Country 
		
<select>
		
Please select from drop-down menu
		


	
	

		


		


		


		


		


	
	

		


		


		


		


		


	
	

		
B
		
Data collection reporting specifications
		


		


		


	
	

		


		


		
Answer
		
Check
		
Comments
	
	

		
B.1
		
Reporting currency
		
<select>
		
Please select from drop-down menu
		


	
	

		
B.2
		
Reporting unit
		
<select>
		
Please select from drop-down menu
		


	
	

		
B.3
		
Reference date (dd/mm/yyyy) -  If deemed more appropriate, accounting year-end data for 2015 may be reported 
		
12/31/2015
		


		


	
	

		
B.4
		
Reference date (dd/mm/yyyy) -  If deemed more appropriate, accounting year-end data for 2016 may be reported 
		
12/31/2016
		


		


	
	

		
B.5
		
Scope of consolidation  - Data shall be submitted on a solo basis
		
Solo
		


		


	
	

		


		


		


		


		


	
	

		


		


		


		


		


	
	

		
C
		
MiFID services and activities
		


		


		


	
	

		


		


		
Answer
		
Check
		
Comments
	
	

		
C.1
		
Is the firm authorised by its home competent authority for:
		


		


		


	
	

		
C.1.1
		
(1) Reception and transmission of orders in relation to one or more financial instruments
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.2
		
(2) Execution of orders on behalf of clients
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.3
		
(3) Dealing on own account
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.4
		
(4) Portfolio management
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.5
		
(5) Investment advice
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.6
		
(6) Underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.7
		
(7) Placing of financial instruments without a firm commitment basis
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.1.8
		
(8) Operation of an MTF
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.2
		
Is the firm conducting ancillary service:
		


		


		


	
	

		
C.2.1
		
(1)  safekeeping and administration of financial instruments?
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.2.2
		
(2) granting credit or loans to an investor
		
<select>
		
Please select from drop-down menu
		


	
	

		
C.3
		
Is the firm authorised or permitted to hold client money?
		
<select>
		
Please select from drop-down menu