Article 10 Designation to identify an applicable waiver Transaction reports shall identify the applicable waiver pursuant to Article 4 or Article 9 of Regulation (EU) No 600/2014 under which the executed transaction has taken place in accordance with field 61 of Annex I. Article 11 Designation to identify a short sale Transaction reports identify transactions which were short sale transactions at the time of their execution in accordance with field 62 of the Annex. An investment firm shall determine on a best effort basis the short sales transactions in which its client is the seller. The investment firm shall identify those short sale transactions in its transaction report in accordance with field 62 of the Annex. Where an investment firm executes a short sale transaction on its own behalf, it shall indicate in the transaction report whether the short sale transaction was undertaken in a market making or primary dealer capacity under an exemption provided under Article 17 of Regulation (EU) No 236/2012. No differentiation between a partial and full sale transaction shall be made in the transaction report. Paragraph 2 also applies where an investment firm aggregates orders from several clients.. Article 12 Reporting of an execution for a combination of financial instruments Where an investment firm executes a transaction in a combination of two or more financial instruments, the investment firm shall report the transaction for each financial instrument separately and shall link those reports by an identifier that is unique at the level of the firm to the group of transaction reports related to that execution as specified in field 40 of Annex I. Article 13 Conditions upon which legal entity identifiers are to be developed, attributed and maintained
Article 10 Designation to identify an applicable waiver Transaction reports shall identify the applicable waiver pursuant to Article 4 or Article 9 of Regulation (EU) No 600/2014 under which the executed transaction has taken place in accordance with field 61 of Annex I. Article 11 Designation to identify a short sale Transaction reports identify transactions which were short sale transactions at the time of their execution in accordance with field 62 of the Annex. An investment firm shall determine on a best effort basis the short sales transactions in which its client is the seller. The investment firm shall identify those short sale transactions in its transaction report in accordance with field 62 of the Annex. Where an investment firm executes a short sale transaction on its own behalf, it shall indicate in the transaction report whether the short sale transaction was undertaken in a market making or primary dealer capacity under an exemption provided under Article 17 of Regulation (EU) No 236/2012. No differentiation between a partial and full sale transaction shall be made in the transaction report. Paragraph 2 also applies where an investment firm aggregates orders from several clients.. Article 12 Reporting of an execution for a combination of financial instruments Where an investment firm executes a transaction in a combination of two or more financial instruments, the investment firm shall report the transaction for each financial instrument separately and shall link those reports by an identifier that is unique at the level of the firm to the group of transaction reports related to that execution as specified in field 40 of Annex I. Article 13 Conditions upon which legal entity identifiers are to be developed, attributed and maintained