{"release":{"id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","published":"2026-11-01T16:41:30Z","pinned":false},"limits":{"coverage":{"history":"current_only","held_since":"2023-02-03","gaps":[],"covered":["ESMA Q&A 789 — Q&A — Financial Instruments Reference Data [Answer Published] L3"],"not_covered":["national guidance","court decisions"]},"freshness":{"release_id":"a4f2a0495fe55b47323883f82977a9b34ab66171ec9623e39925d3a7045b6c81","release_published":"2026-11-01T16:41:30Z","checked_at":"2026-10-26","checked_against":"the ESMA publication"},"truncation":null,"failures":[],"incomplete":[]},"page":{"path":"/dlt-pilot/level-3/q-and-a/esma/esma-qa-789-financial-instruments-reference-data","url":"https://www.headlesslaw.com/dlt-pilot/level-3/q-and-a/esma/esma-qa-789-financial-instruments-reference-data","title":"ESMA Q&A 789 — Q&A — Financial Instruments Reference Data [Answer 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not legislation · published 3 Feb 2023 [Answer Published]","attribution":{"prepared_by":"ESMA","published_by":"ESMA","published_in":"ESMA Q&A tool","document_type":"qa_answer","legal_nature":"not_legislation","addressees":"not stated in the document","dates":{"published_on":"2023-02-03","question_submitted_on":"2023-02-03","locators":{"published_on":"ESMA Q&A Excel export ESMA_QA_789, column 'Esma responses', date line","question_submitted_on":"ESMA Q&A Excel export ESMA_QA_789, column 'Date of submission'"}},"adoption":null}},"provenance":{"official_url":"https://www.esma.europa.eu/publications-data/questions-answers/789","check":{"result":"matched","checked_at":"2026-10-26","against":"the ESMA publication"},"repo_path":"spaces/dlt-pilot/level-3/q-and-a/esma/esma-qa-789-financial-instruments-reference-data.md","body_sha256":"352b55d1cc0200b7716679936f585cad27d0bfda920753db1225eb2fcece7c18"},"units":[],"markdown":"---\ntitle: \"ESMA Q&A 789 — Q&A — Financial Instruments Reference Data [Answer Published]\"\nshortTitle: \"ESMA Q&A 789 — Q&A — Financial Instruments Reference Data [Answer Published]\"\nanswer_id: ESMA_QA_789\ntopic: \"DLT financial instruments\"\nstatus: \"Answer Published\"\ntype: qa\ninstrument_type: qa\nauthority: ESMA\nbinding: false\nbinding_character: non_binding\nlegal_status: in_force\nregulation: \"DLT Pilot\"\ndlt_level3: true\nmica_level2: false\nlegal_basis: \"RTS 23\"\ndate: 3 February 2023\nsource_link: https://www.esma.europa.eu/publications-data/questions-answers/789\nlifecycle: \"Answer Published\"\ntext_version: \"ESMA Q&A register, 3 February 2023\"\nsource_url: \"https://www.esma.europa.eu/publications-data/questions-answers/789\"\ncheck_status: matched\nverified: true\nlast_checked: 2026-10-26\nchecked_against: \"the ESMA publication\"\nsource:\n  prepared_by: \"ESMA\"\n  published_by: \"ESMA\"\n  published_in: \"ESMA Q&A tool\"\n  evidence:\n    prepared_by: \"ESMA Answer\"\n    locator: \"ESMA Q&A entry ESMA_QA_789: field 'ESMA Answer', no 'Answer provided by' line\"\ndocument_type: \"qa_answer\"\nlegal_nature: \"not_legislation\"\naddressees: \"not stated in the document\"\ndates:\n  published_on: \"2023-02-03\"\n  question_submitted_on: \"2023-02-03\"\n  locators:\n    published_on: \"ESMA Q&A Excel export ESMA_QA_789, column 'Esma responses', date line\"\n    question_submitted_on: \"ESMA Q&A Excel export ESMA_QA_789, column 'Date of submission'\"\nlifecycle_label: \"Answer Published\"\n---\n\n**Answer by ESMA, published in its Q&A tool · not legislation · published 3 Feb 2023 [Answer Published]**\n\n*Answer Published · ESMA Q&A register, 3 February 2023 · Checked against the ESMA publication on 26 Oct 2026 · [Official source](https://www.esma.europa.eu/publications-data/questions-answers/789)*\n\n| | |\n|---|---|\n| **Full title** | ESMA Q&A 789 — Q&A — Financial Instruments Reference Data \\[Answer Published\\] |\n| **Prepared by** | ESMA |\n| **Published by** | ESMA, in the ESMA Q&A tool |\n| **Reference** | ESMA_QA_789 |\n| **Document type** | Q&A |\n| **Legal nature** | Not legislation |\n| **Addressees** | Not stated in the document |\n| **Dates** | Published 3 February 2023; question submitted 3 February 2023 |\n| **Legal basis** | RTS 23 |\n| **Related instruments** | None recorded |\n| **Text on this page** | Word for word — the full text of the ESMA publication |\n\n**Financial Instruments Reference Data**\n\n### Question\n\nHow should Field 5 of RTS 23 “Issuer or operator of the trading venue identifier” be populated for DLT financial instruments within Article 3(1)(a) and (b) DLTR that are exclusively created on the DLT and do not represent a previously issued financial instrument?\n\n***\n\n### Answer\n\nAs for the case of non-DLT shares, bonds and other forms of securitised debt, including depositary receipts, Field 5 should be populated with the LEI of the legal entity which issues or proposes to issue the financial instrument within the meaning of the Prospectus Regulation\\[1\\] and, in case of depositary receipts, the entity which issues the debt instrument represented in line with MAR Article 3(1)(21).\n\n\\[DLT Financial Instruments Reference Data Q&A 4\\]\n\n\\[1\\] Article 2(h) of Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC. Text with EEA relevance.\n\n***\n\n**Source:** [ESMA original document](https://www.esma.europa.eu/publications-data/questions-answers/789)\n"}