ESMA Q&A 1502 — Q&A — MiFIR data reporting - LEI of the issuer [Answer Published]

MiFIR data reporting - LEI of the issuer

Question

[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 2.6]

(a) In case of a financial instrument issued by an Alternative Investment Fund (AIF) or; an undertakings for collective investment in transferable securities (UCITS) , which LEI code should be reported in the field 5 (Issuer or operator of the trading venue identifier) of RTS 23 and related RTS and ITS under MAR Article 4?

(b) In case of a financial instrument issued by an umbrella fund that is an AIF or an UCITS, which LEI code should be reported in the field 5 (Issuer or operator of the trading venue identifier) of RTS 23 and related RTS and ITS under MAR Article 4?

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Answer

[ESMA 70-1861941480-56 MiFIR data reporting Q&A, Q&A 2.6]

(a) The LEI of the fund (AIF[1] or UCITS[2]) should be reported in field 5 of RTS 23 and related RTS and ITS under MAR Article 4.

(b) If sub-funds are part of the umbrella fund structure, then the LEI of the sub-fund should be reported in field 5 of RTS 23.

[1] As defined in Article 4(1)(a) of the AIFMD.

[2] As defined in Article 1(2) of the UCITS Directive.

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Source: ESMA original document