Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation

Guidelines on transaction reporting, reference data, order record keeping & clock synchronisation

from 23 December 2015 to 25 March 2016


Responding to this paper

ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex 1. Comments are most helpful if they:

  1. respond to the question stated;
  2. indicate the specific question to which the comment relates;
  3. contain a clear rationale; and
  4. describe any alternatives ESMA should consider.

ESMA will consider all comments received by 25 March 2016.

All contributions should be submitted online at under the heading ‘Your input - Consultations’.

Publication of responses

All contributions received will be published following the close of the consultation, unless you request otherwise.  Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman.

Data protection

Information on data protection can be found at under the heading Legal Notice.

Who should read this paper

All interested stakeholders are invited to respond to this consultation paper. In particular, responses are sought from investment firms, approved reporting mechanisms (ARMs), trading venues and systematic internalisers

Documents available for this Consultation
23/12/20152015/1909 Guidelines on Transaction Reporting Reference Data Order Record Keeping and Clock Synchronisation
23/12/20152015/1911Annex III - Draft ISO 20022 message specification


Activity Institution Download
Chamber of Brokerage Houses
Asset Management BlackRock
Asset Management Amundi
Asset Management The Investment Association
Asset Management BVI
Banking NORD/LB
Banking National Association of German Cooperative Banks (BVR)
Banking Caixa Geral de Depósitos
Banking Deutsche Bank
Banking F. van Lanschot Bankiers N.V.
Banking DZ BANK AG
Banking UBS Group AG
Banking Dutch Banking Association
Banking European Association of Co-operative Banks (EACB)
Banking Societe Generale S.A.
Banking Deutscher Sparkassen- und Giroverband e. V. (DSGV)
Banking Slovak Banking Association
Banking German Banking Industry Committee (GBIC)
Banking European Banking Federation
Banking Bundesverband deutscher Banken (BdB)
Banking Austrian Federal Economic Chamber, Division Bank and Insurance
Investment Services FOGAIN
Investment Services The Wealth Management Association
Investment Services Smith & Williamson
Investment Services State Street Corporation
Investment Services IG Markets Limited
Investment Services TD Direct Investing (Europe) Limited
Investment Services AMAFI and AFTI
Investment Services Integrated Financial Arrangements Ltd
Regulated markets EEX Group
Regulated markets BME Spanish Exchanges
Regulated markets ICE Futures Europe
Regulated markets CME Europe
Regulated markets Deutsche Börse Group
Exchanges and Trading Systems Bats Europe
Exchanges and Trading Systems Nasdaq
Exchanges and Trading Systems Federation of European Securities Exchanges
Exchanges and Trading Systems MarketAxess and Trax
Exchanges and Trading Systems Euronext
Exchanges and Trading Systems Tradeweb Europe Limited
Exchanges and Trading Systems London Metal Exchange
Others Citadel LLC
Others British Bankers Association
Others STAC
Others FIA
Others FIX Trading Community
Others IFDS
Others EDF Trading Limited
Others Nordic Securities Association
Others ISDA - FpML
Others Corvil
Others The Global FX Division (GFMA) of the Global Financial Markets Association (GFMA)
Others International Swaps and Derivatives Association (ISDA)
Others NPL and BIPM
Others Bloomberg LP
Regulated markets, exchanges & trading systems Abide Financial Limited
Regulated markets, exchanges & trading systems London Stock Exchange Group plc
Regulated markets, exchanges & trading systems Wholesale Markets Brokers’ Association