Template guide

Download the template It contains the examples below; delete them and add your own rows.

One row per report. Columns may be in any order, and columns you never use may be left blank.
A cancellation needs only report_status (CANC), transaction_reference and executing_entity_lei.
Dates are YYYY-MM-DD. Trade times are UTC, for example 2026-09-01T09:30:15Z, and at least to the millisecond for a trade on a UK or EU venue under your own membership.
Treat a trade through a broker, including its DMA or DEA service, as XOFF: use an exchange's MIC only if you executed under your own membership, and give its trade code in venue_transaction_id only if that exchange is in the UK or EU.
Under your own membership on a venue with a central counterparty (the London Stock Exchange, for example) the other side of your trade is the CCP: give its LEI. A venue's MIC is only for venues without a CCP where the counterparty is unknown.

Worked examples

A CFD on an index, dealt as principal against a retail client

report_status	NEWT
transaction_reference	EXAMPLE0001
executing_entity_lei	EXAMPLEFIRM000000014
executing_entity_is_reporting_firm	Y
buyer_id	EXAMPLEFIRM000000014
buyer_id_type	LEI
buyer_is_client	N
seller_id	GB19801030JOHN#SMITH
seller_id_type	CONCAT
seller_is_client	Y
seller_first_name	JOHN
seller_surname	SMITH
seller_date_of_birth	1980-10-30
trading_date_time	2026-09-01T09:30:15.123456Z
trading_capacity	DEAL
quantity	5
quantity_type	UNIT
price	7650.5
price_type	MONE
price_currency	GBP
venue	XXXX
instrument_name	UK 100 CFD
instrument_cfi	JEIXCC
notional_currency	GBP
price_multiplier	1
underlying_isin	GB0001383545
underlying_index_name	FTSE 100
investment_decision_id	ALGO1
investment_decision_id_type	ALGO
execution_decision_id	ALGO1
execution_decision_id_type	ALGO

A share bought on a venue under your own membership, for a client that is a firm; the CCP is the seller

report_status	NEWT
transaction_reference	EXAMPLE0002
venue_transaction_id	TVTIC0001
executing_entity_lei	EXAMPLEFIRM000000014
executing_entity_is_reporting_firm	Y
buyer_id	EXAMPLECLIENT0000021
buyer_id_type	LEI
buyer_is_client	Y
seller_id	F226TOH6YD6XJB17KS62
seller_id_type	LEI
seller_is_client	N
trading_date_time	2026-09-01T10:02:00.123Z
trading_capacity	AOTC
quantity	100
quantity_type	UNIT
price	12.5
price_type	MONE
price_currency	GBP
venue	XLON
instrument_isin	GB0002634946
execution_decision_id	ALGO1
execution_decision_id_type	ALGO

A discretionary manager buys through a broker for a private client; the firm is the decision maker

report_status	NEWT
transaction_reference	EXAMPLE0003
executing_entity_lei	EXAMPLEFIRM000000014
executing_entity_is_reporting_firm	Y
buyer_id	GBQQ123456C
buyer_id_type	NIDN
buyer_is_client	Y
buyer_first_name	JANE
buyer_surname	DOE
buyer_date_of_birth	1975-01-02
buyer_decision_maker_id	EXAMPLEFIRM000000014
buyer_decision_maker_id_type	LEI
seller_id	EXAMPLEBROKER0000030
seller_id_type	LEI
seller_is_client	N
trading_date_time	2026-09-01T14:15:30Z
trading_capacity	AOTC
quantity	250
quantity_type	UNIT
price	4.32
price_type	MONE
price_currency	GBP
venue	XOFF
instrument_isin	GB0007980591
investment_decision_id	GBQQ654321A
investment_decision_id_type	NIDN
execution_decision_id	GBQQ654321A
execution_decision_id_type	NIDN

Cancelling a report already sent

report_status	CANC
transaction_reference	EXAMPLE0001
executing_entity_lei	EXAMPLEFIRM000000014

Every column, explained

New to this? The Reporting basics lessons explain the ideas behind the columns.

report_status NEWT for a new report, CANC to cancel one you sent before.

What it is: NEWT for a new report, CANC to cancel one you sent before.
Where to find it: Your own decision for each row.
Watch out for: To correct a report, send a CANC row first, then the corrected NEWT row with the same transaction reference, best in a separate file. We send the corrected report only once the cancellation is accepted. Blank means NEWT.
Allowed values: NEWT New report
CANC Cancellation
FCA reference: RTS 22 field 1

transaction_reference needed Your firm's own unique reference for this trade.

What it is: Your firm's own unique reference for this trade. It is how the report is found again for corrections and cancellations.
Where to find it: Usually the trade or deal ID in your dealing or back-office system.
Watch out for: Capital letters and digits only, up to 52 characters: no spaces, dashes or lower case. Never use the same reference for two different trades. Keep it the same when you correct a report.
FCA reference: RTS 22 field 2

venue_transaction_id The trading venue's own code for the trade (the TVTIC), so the FCA can match your report with the venue's records.

What it is: The trading venue's own code for the trade (the TVTIC), so the FCA can match your report with the venue's records.
Where to find it: The venue's execution report or trade confirmation.
Watch out for: Only for trades you execute on a UK or EU venue under your own membership. It must be blank for anything else, including a venue outside the UK and EU, or the FCA rejects the report: that covers XOFF, XXXX and a systematic internaliser's MIC, so trades through a broker or its DMA or DEA service too. Needed on a UK or EU venue where the venue gives one. A trade agreed bilaterally and brought under an exchange's rules may have none, so leave it blank then. Never enter a default such as 0: the FCA has queried firms whose systems fed one through.
FCA reference: RTS 22 field 3

executing_entity_lei needed Your firm's Legal Entity Identifier: the firm that carried out the trade.

What it is: Your firm's Legal Entity Identifier: the firm that carried out the trade.
Where to find it: Your LEI certificate, or the global LEI register (gleif.org).
Watch out for: The LEI must be kept current: renew it every year with your LEI issuer. Reports under a lapsed LEI may be rejected.
FCA reference: RTS 22 field 4

executing_entity_is_reporting_firm Y when your firm is an investment firm under MiFID, which is the usual case.

What it is: Y when your firm is an investment firm under MiFID, which is the usual case.
Where to find it: Your FCA permissions.
Watch out for: Blank means Y. N is only for reports made for a firm that is not itself an investment firm.
Allowed values: Y Yes
N No
FCA reference: RTS 22 field 5

buyer_id needed Who acquired the instrument.

What it is: Who acquired the instrument. If your firm bought for its own book, this is your own LEI. If a client bought, it is the client: their LEI if they are a company, or their personal identifier if they are a person. Where the other side of the trade was your broker, it is the broker's LEI. On a venue with a central counterparty (CCP), trading under your own membership, it is the CCP's LEI.
Where to find it: Your client records for clients; the trade confirmation or venue execution report for the broker, counterparty or CCP.
Watch out for: Personal identifiers follow a fixed order of preference for each nationality. For UK nationals it is the National Insurance number with GB in front, for example GBQQ123456C. Where no national identifier applies, use the CONCAT code: lesson 3 shows how to build it. Only use a venue's MIC when the venue has no CCP and the counterparty is unknown, which is rare in the UK.
FCA reference: RTS 22 field 7

buyer_id_type Says what kind of code the buyer ID is: LEI, NIDN (national ID number), CCPT (passport), CONCAT, INTC (an aggregated client account) or MIC.

What it is: Says what kind of code the buyer ID is: LEI, NIDN (national ID number), CCPT (passport), CONCAT, INTC (an aggregated client account) or MIC.
Where to find it: Follows from the ID you used.
Watch out for: Can be left blank and worked out from the ID, but filling it in avoids ambiguity. INTC is only for an order filled for several clients at once and not yet allocated.
Allowed values: LEI Legal Entity Identifier
NIDN National ID number
CCPT Passport number
CONCAT CONCAT code
INTC Aggregated client account
MIC Venue MIC (no CCP, counterparty unknown)
FCA reference: Part of field 7

buyer_is_client Y if the buyer is your client, N if not.

What it is: Y if the buyer is your client, N if not. Our template asks this simple question instead of the FCA's 'country of the branch' field, and fills that field in for you.
Where to find it: Your client list.
Watch out for: Only your clients get Y. Your own firm, a broker, a CCP or a market counterparty is N.
Allowed values: Y Yes
N No
FCA reference: Replaces field 8 (country of the branch)

buyer_first_name The buyer's first name or names, for people only.

What it is: The buyer's first name or names, for people only.
Where to find it: The client's identity documents held for your client-onboarding checks.
Watch out for: All first names, in full, as on the identity document; several are separated by commas. No titles. Leave blank for companies.
FCA reference: RTS 22 field 9

buyer_surname The buyer's surname or surnames, for people only.

What it is: The buyer's surname or surnames, for people only.
Where to find it: As above.
Watch out for: Full surname as on the identity document, including any prefixes such as van or de.
FCA reference: RTS 22 field 10

buyer_date_of_birth The buyer's date of birth, for people only, as YYYY-MM-DD.

What it is: The buyer's date of birth, for people only, as YYYY-MM-DD.
Where to find it: As above.
Watch out for: Must be before the trade date, and must agree with the date used in a CONCAT code.
FCA reference: RTS 22 field 11

buyer_decision_maker_id Who decided for the buyer, when that was not the buyer itself.

What it is: Who decided for the buyer, when that was not the buyer itself. If your firm manages the client's money with discretion, it is your firm's LEI. If someone holds a power of attorney, it is that person's identifier.
Where to find it: Your client agreements: discretionary mandates and powers of attorney.
Watch out for: Leave blank when the buyer decided for themselves (for example an execution-only client), and when the buyer is your own firm: who in your firm decided goes in the investment decision columns instead.
FCA reference: RTS 22 field 12

buyer_decision_maker_id_type The kind of code used for the buyer's decision maker: LEI, NIDN, CCPT or CONCAT.

What it is: The kind of code used for the buyer's decision maker: LEI, NIDN, CCPT or CONCAT.
Where to find it: Follows from the decision maker's ID.
Watch out for: LEI when it is a firm, a personal code when it is a person.
Allowed values: LEI Legal Entity Identifier
NIDN National ID number
CCPT Passport number
CONCAT CONCAT code
FCA reference: Part of field 12

buyer_decision_maker_first_name First name or names of a decision maker who is a person.

What it is: First name or names of a decision maker who is a person.
Where to find it: The power of attorney or mandate documents.
Watch out for: Leave blank when the decision maker is a firm.
FCA reference: RTS 22 field 13

buyer_decision_maker_surname Surname of a decision maker who is a person.

What it is: Surname of a decision maker who is a person.
Where to find it: As above.
Watch out for: Leave blank when the decision maker is a firm.
FCA reference: RTS 22 field 14

buyer_decision_maker_date_of_birth Date of birth of a decision maker who is a person, as YYYY-MM-DD.

What it is: Date of birth of a decision maker who is a person, as YYYY-MM-DD.
Where to find it: As above.
Watch out for: Leave blank when the decision maker is a firm.
FCA reference: RTS 22 field 15

seller_id needed Who disposed of the instrument.

What it is: Who disposed of the instrument. If your firm sold for its own book, this is your own LEI. If a client sold, it is the client: their LEI if they are a company, or their personal identifier if they are a person. Where the other side of the trade was your broker, it is the broker's LEI. On a venue with a central counterparty (CCP), trading under your own membership, it is the CCP's LEI.
Where to find it: Your client records for clients; the trade confirmation or venue execution report for the broker, counterparty or CCP.
Watch out for: Personal identifiers follow a fixed order of preference for each nationality. For UK nationals it is the National Insurance number with GB in front, for example GBQQ123456C. Where no national identifier applies, use the CONCAT code: lesson 3 shows how to build it. Only use a venue's MIC when the venue has no CCP and the counterparty is unknown, which is rare in the UK.
FCA reference: RTS 22 field 16

seller_id_type Says what kind of code the seller ID is: LEI, NIDN (national ID number), CCPT (passport), CONCAT, INTC (an aggregated client account) or MIC.

What it is: Says what kind of code the seller ID is: LEI, NIDN (national ID number), CCPT (passport), CONCAT, INTC (an aggregated client account) or MIC.
Where to find it: Follows from the ID you used.
Watch out for: Can be left blank and worked out from the ID, but filling it in avoids ambiguity. INTC is only for an order filled for several clients at once and not yet allocated.
Allowed values: LEI Legal Entity Identifier
NIDN National ID number
CCPT Passport number
CONCAT CONCAT code
INTC Aggregated client account
MIC Venue MIC (no CCP, counterparty unknown)
FCA reference: Part of field 16

seller_is_client Y if the seller is your client, N if not.

What it is: Y if the seller is your client, N if not. Our template asks this simple question instead of the FCA's 'country of the branch' field, and fills that field in for you.
Where to find it: Your client list.
Watch out for: Only your clients get Y. Your own firm, a broker, a CCP or a market counterparty is N.
Allowed values: Y Yes
N No
FCA reference: Replaces field 17 (country of the branch)

seller_first_name The seller's first name or names, for people only.

What it is: The seller's first name or names, for people only.
Where to find it: The client's identity documents held for your client-onboarding checks.
Watch out for: All first names, in full, as on the identity document; several are separated by commas. No titles. Leave blank for companies.
FCA reference: RTS 22 field 18

seller_surname The seller's surname or surnames, for people only.

What it is: The seller's surname or surnames, for people only.
Where to find it: As above.
Watch out for: Full surname as on the identity document, including any prefixes such as van or de.
FCA reference: RTS 22 field 19

seller_date_of_birth The seller's date of birth, for people only, as YYYY-MM-DD.

What it is: The seller's date of birth, for people only, as YYYY-MM-DD.
Where to find it: As above.
Watch out for: Must be before the trade date, and must agree with the date used in a CONCAT code.
FCA reference: RTS 22 field 20

seller_decision_maker_id Who decided for the seller, when that was not the seller itself.

What it is: Who decided for the seller, when that was not the seller itself. If your firm manages the client's money with discretion, it is your firm's LEI. If someone holds a power of attorney, it is that person's identifier.
Where to find it: Your client agreements: discretionary mandates and powers of attorney.
Watch out for: Leave blank when the seller decided for themselves (for example an execution-only client), and when the seller is your own firm: who in your firm decided goes in the investment decision columns instead.
FCA reference: RTS 22 field 21

seller_decision_maker_id_type The kind of code used for the seller's decision maker: LEI, NIDN, CCPT or CONCAT.

What it is: The kind of code used for the seller's decision maker: LEI, NIDN, CCPT or CONCAT.
Where to find it: Follows from the decision maker's ID.
Watch out for: LEI when it is a firm, a personal code when it is a person.
Allowed values: LEI Legal Entity Identifier
NIDN National ID number
CCPT Passport number
CONCAT CONCAT code
FCA reference: Part of field 21

seller_decision_maker_first_name First name or names of a decision maker who is a person.

What it is: First name or names of a decision maker who is a person.
Where to find it: The power of attorney or mandate documents.
Watch out for: Leave blank when the decision maker is a firm.
FCA reference: RTS 22 field 22

seller_decision_maker_surname Surname of a decision maker who is a person.

What it is: Surname of a decision maker who is a person.
Where to find it: As above.
Watch out for: Leave blank when the decision maker is a firm.
FCA reference: RTS 22 field 23

seller_decision_maker_date_of_birth Date of birth of a decision maker who is a person, as YYYY-MM-DD.

What it is: Date of birth of a decision maker who is a person, as YYYY-MM-DD.
Where to find it: As above.
Watch out for: Leave blank when the decision maker is a firm.
FCA reference: RTS 22 field 24

sending_firm_for_buyer_lei When another investment firm passed the buyer's order to you and gave you all the details you need to report it (a 'transmitted order'), that firm's LEI.

What it is: When another investment firm passed the buyer's order to you and gave you all the details you need to report it (a 'transmitted order'), that firm's LEI.
Where to find it: Your agreement with the sending firm.
Watch out for: Rare for small firms. Only use it when there is a formal transmission arrangement; otherwise leave blank.
FCA reference: RTS 22 field 26

sending_firm_for_seller_lei As for the buyer, for the seller's side.

What it is: As for the buyer, for the seller's side.
Where to find it: As above.
Watch out for: As above.
FCA reference: RTS 22 field 27

trading_date_time needed The date and time the trade was executed, in UTC.

What it is: The date and time the trade was executed, in UTC.
Where to find it: Your order or execution records, or the venue's execution report.
Watch out for: UTC, not UK clock time: in British Summer Time, take one hour off. Whole seconds are enough for XOFF, XXXX, an SI's MIC or a platform outside the UK and EU, for example 2026-09-01T09:30:15Z. For a UK or EU venue, give at least milliseconds, for example 2026-09-01T09:30:15.123Z: we warn if the fraction is missing or all zeros.
FCA reference: RTS 22 field 28

trading_capacity needed The capacity your firm acted in: DEAL (on your own account, taking the risk), MTCH (matched principal: two back-to-back trades at the same time and price, so no risk) or AOTC (any other capacity: usually agency for a client).

What it is: The capacity your firm acted in: DEAL (on your own account, taking the risk), MTCH (matched principal: two back-to-back trades at the same time and price, so no risk) or AOTC (any other capacity: usually agency for a client).
Where to find it: How the trade was booked.
Watch out for: If you DEAL, your firm must appear as the buyer or the seller. If you act MTCH or AOTC, your firm should appear as neither: the client and the counterparty do.
Allowed values: DEAL Dealing on own account
MTCH Matched principal
AOTC Any other capacity (agency)
FCA reference: RTS 22 field 29

quantity needed How much was traded: the number of shares or contracts, or the nominal or monetary value, depending on the quantity type.

What it is: How much was traded: the number of shares or contracts, or the nominal or monetary value, depending on the quantity type.
Where to find it: The trade confirmation.
Watch out for: Positive numbers only. For bonds, use the nominal value with quantity type NOML.
FCA reference: RTS 22 field 30

quantity_type What the quantity measures: UNIT (number of shares or contracts), NOML (nominal value, for bonds) or MONE (a monetary value, for example a spread bet's stake per point).

What it is: What the quantity measures: UNIT (number of shares or contracts), NOML (nominal value, for bonds) or MONE (a monetary value, for example a spread bet's stake per point).
Where to find it: The instrument type.
Watch out for: Blank means UNIT. NOML and MONE also need the quantity currency. CFDs are UNIT, the number of contracts, with the quantity currency blank. Spread bets are MONE, the stake per point, with its currency.
Allowed values: UNIT Units
NOML Nominal value
MONE Monetary value
FCA reference: Part of field 30

quantity_currency The currency of a nominal or monetary quantity, as a three-letter code such as GBP.

What it is: The currency of a nominal or monetary quantity, as a three-letter code such as GBP.
Where to find it: The trade confirmation.
Watch out for: Leave blank when the quantity is a number of units.
FCA reference: RTS 22 field 31

price The price per unit, excluding commission and, for bonds, excluding accrued interest.

What it is: The price per unit, excluding commission and, for bonds, excluding accrued interest.
Where to find it: The trade confirmation.
Watch out for: Leave blank only when the price type is PNDG (not yet known) or NOAP (no price applies). Do not include fees.
FCA reference: RTS 22 field 33

price_type How the price is expressed: MONE (money), PCTG (percentage, typical for bonds), YLD (yield), BPTS (basis points), PNDG (pending) or NOAP (not applicable).

What it is: How the price is expressed: MONE (money), PCTG (percentage, typical for bonds), YLD (yield), BPTS (basis points), PNDG (pending) or NOAP (not applicable).
Where to find it: How the instrument is quoted.
Watch out for: Blank means MONE. If you report PNDG, send a corrected report once the price is known. Spread bets are often priced in index points: BPTS, with the price currency blank.
Allowed values: MONE Money
PCTG Percentage
YLD Yield
BPTS Basis points
PNDG Price pending
NOAP Not applicable
FCA reference: Part of field 33

price_currency The currency of a money price, as a three-letter code.

What it is: The currency of a money price, as a three-letter code.
Where to find it: The trade confirmation.
Watch out for: Needed whenever the price type is MONE, and blank otherwise. Give sterling prices in pounds with GBP: pence (GBX) is not an ISO currency code and is rejected, so 245p is 2.45 GBP.
FCA reference: RTS 22 field 34

net_amount For bonds only: the cash the buyer pays on settlement, including accrued interest and excluding commission.

What it is: For bonds only: the cash the buyer pays on settlement, including accrued interest and excluding commission.
Where to find it: The bond trade confirmation.
Watch out for: Leave blank for shares and derivatives.
FCA reference: RTS 22 field 35

venue needed Where the trade was executed: the trading venue's segment MIC (for example XLON for the London Stock Exchange) if you executed under your own membership; the MIC of a systematic internaliser (SI) if you know the counterparty is one and it acted as one for this trade; XOFF when the instrument is traded on a venue but your trade was not; or XXXX when the instrument is not traded on any venue.

What it is: Where the trade was executed: the trading venue's segment MIC (for example XLON for the London Stock Exchange) if you executed under your own membership; the MIC of a systematic internaliser (SI) if you know the counterparty is one and it acted as one for this trade; XOFF when the instrument is traded on a venue but your trade was not; or XXXX when the instrument is not traded on any venue.
Where to find it: The execution report; the MIC list published by the ISO 10383 registry.
Watch out for: Treat a trade through a broker, including its DMA or DEA service, as XOFF: use the exchange's MIC only under your own membership. If you cannot tell whether a counterparty acted as an SI, XOFF is acceptable. A contract listed on an exchange outside the UK and EU, such as a CME future, takes that exchange's MIC under your own membership. Through a broker it is XXXX if it has no ISIN, as most do not, and XOFF if it has one. CFDs and other OTC derivatives are XXXX, not XOFF.
FCA reference: RTS 22 field 36

up_front_payment For swaps and similar derivatives: any payment made when the contract starts.

What it is: For swaps and similar derivatives: any payment made when the contract starts.
Where to find it: The derivative confirmation.
Watch out for: Rare for small firms; leave blank when there is none.
FCA reference: RTS 22 field 38

up_front_payment_currency The currency of the up-front payment.

What it is: The currency of the up-front payment.
Where to find it: As above.
Watch out for: Leave blank when there is no up-front payment.
FCA reference: RTS 22 field 39

package_id A reference you choose to link the legs of a package traded together as one deal.

What it is: A reference you choose to link the legs of a package traded together as one deal.
Where to find it: Your dealing records.
Watch out for: Use the same ID on every leg of the package, and a new ID for each package.
FCA reference: RTS 22 field 40 (complex trade component ID); package identifier from April 2028

package_price The price of the whole package, for packages.

What it is: The price of the whole package, for packages.
Where to find it: Your dealing records.
Watch out for: Only used from April 2028; can be left blank until then.
FCA reference: New from April 2028

package_price_type How the package price is expressed: MONE, PCTG, YLD, BPTS, PNDG or NOAP.

What it is: How the package price is expressed: MONE, PCTG, YLD, BPTS, PNDG or NOAP.
Where to find it: As above.
Watch out for: As above.
Allowed values: MONE Money
PCTG Percentage
YLD Yield
BPTS Basis points
PNDG Price pending
NOAP Not applicable
FCA reference: New from April 2028

package_price_currency The currency of a money package price.

What it is: The currency of a money package price.
Where to find it: As above.
Watch out for: As above.
FCA reference: New from April 2028

instrument_isin The instrument's ISIN, the 12-character international code.

What it is: The instrument's ISIN, the 12-character international code.
Where to find it: Your instrument records, the trade confirmation, or the FCA's instrument reference data (FIRDS).
Watch out for: If the instrument is in the FCA's reference data, give the ISIN alone and leave the instrument name and CFI blank. The ISIN must have been valid on the trade date: we check it against FIRDS and warn you if it was not, for example an expired future or a matured bond, before anything is sent. For a CFD or spread bet, leave this blank and give the underlying's ISIN in underlying_isin: the underlying share's ISIN here would report a trade in the share itself.
FCA reference: RTS 22 field 41

instrument_name The instrument's full name, for instruments without an ISIN in the FCA's reference data, such as CFDs and spread bets.

What it is: The instrument's full name, for instruments without an ISIN in the FCA's reference data, such as CFDs and spread bets.
Where to find it: Your product description.
Watch out for: Only fill this in when there is no ISIN. Describe the product clearly, for example 'UK 100 CFD'.
FCA reference: RTS 22 field 42

instrument_cfi The six-letter CFI code that classifies the instrument (ISO 10962), for instruments without an ISIN.

What it is: The six-letter CFI code that classifies the instrument (ISO 10962), for instruments without an ISIN.
Where to find it: Your instrument set-up; for CFDs it usually starts with J.
Watch out for: Needed whenever you give an instrument name. We work out option type, exercise style and delivery type from it for you.
FCA reference: RTS 22 field 43

notional_currency For derivatives without an ISIN: the currency the contract is denominated in.

What it is: For derivatives without an ISIN: the currency the contract is denominated in.
Where to find it: The product terms.
Watch out for: Usually the currency of the underlying price, for example GBP for a UK index CFD.
FCA reference: RTS 22 field 44

price_multiplier For derivatives: how many units of the underlying one contract represents.

What it is: For derivatives: how many units of the underlying one contract represents.
Where to find it: The product terms.
Watch out for: Blank means 1, which is right for most CFDs.
FCA reference: RTS 22 field 46

underlying_isin For derivatives without their own ISIN: the ISIN of what the derivative is based on.

What it is: For derivatives without their own ISIN: the ISIN of what the derivative is based on. Several ISINs separated by | for a basket.
Where to find it: The product terms.
Watch out for: For an index, give the index's own ISIN if it has one and its name in the index name column. Most indices have an ISIN. Never use an ETF or fund that tracks the index in its place: that is a different instrument, and we warn if we see one.
FCA reference: RTS 22 field 47

underlying_index_name For derivatives on an index: the index's name, given as well as its ISIN.

What it is: For derivatives on an index: the index's name, given as well as its ISIN.
Where to find it: The product terms.
Watch out for: Use the standard name, for example FTSE 100 or NASDAQ-100, not a trading platform's symbol for it.
FCA reference: RTS 22 field 48

underlying_index_term For derivatives on an interest-rate index: the index's term, for example 3MNTH.

What it is: For derivatives on an interest-rate index: the index's term, for example 3MNTH.
Where to find it: The product terms.
Watch out for: Leave blank for anything else.
FCA reference: RTS 22 field 49

strike_price For options: the strike price.

What it is: For options: the strike price.
Where to find it: The option terms.
Watch out for: Leave blank for anything that is not an option.
FCA reference: RTS 22 field 51

strike_price_type How the strike is expressed: MONE, PCTG, YLD or BPTS.

What it is: How the strike is expressed: MONE, PCTG, YLD or BPTS.
Where to find it: The option terms.
Watch out for: Blank means MONE.
Allowed values: MONE Money
PCTG Percentage
YLD Yield
BPTS Basis points
FCA reference: Part of field 51

strike_price_currency The currency of a money strike price.

What it is: The currency of a money strike price.
Where to find it: The option terms.
Watch out for: Leave blank for anything that is not an option.
FCA reference: RTS 22 field 52

expiry_date For derivatives with a fixed end: the expiry date, as YYYY-MM-DD.

What it is: For derivatives with a fixed end: the expiry date, as YYYY-MM-DD.
Where to find it: The product terms.
Watch out for: Leave blank for rolling or undated products such as most CFDs.
FCA reference: RTS 22 field 55

investment_decision_id Who in your firm decided to make the investment, when your firm made that decision: when dealing on its own account, or managing a client's money with discretion.

What it is: Who in your firm decided to make the investment, when your firm made that decision: when dealing on its own account, or managing a client's money with discretion. A person's identifier, or the code of the algorithm that decided.
Where to find it: Your dealing records: the trader or portfolio manager behind the decision.
Watch out for: Leave blank when the client decided an order you handled in an AOTC or MTCH capacity. Every DEAL trade needs it, including an execution-only order for a client that you fill as principal. Use a personal identifier for a person, as for clients.
FCA reference: RTS 22 field 57

investment_decision_id_type The kind of code used: ALGO, NIDN, CCPT or CONCAT.

What it is: The kind of code used: ALGO, NIDN, CCPT or CONCAT.
Where to find it: Follows from the ID used.
Watch out for: ALGO only when an algorithm made the decision.
Allowed values: ALGO Algorithm
NIDN National ID number
CCPT Passport number
CONCAT CONCAT code
FCA reference: Part of field 57

execution_decision_id Who in your firm was mainly responsible for executing the trade: a person or an algorithm.

What it is: Who in your firm was mainly responsible for executing the trade: a person or an algorithm.
Where to find it: Your dealing records: the dealer or the order-routing system.
Watch out for: For a person, give their national identifier and the matching type. For an order-routing system or other automated execution, give its code with type ALGO. Blank means NORE (no one in your firm: for example the client executed it). Type DEAU is for a client using direct electronic access: lesson 5 explains it.
FCA reference: RTS 22 field 59

execution_decision_id_type The kind of code used: ALGO, NIDN, CCPT, CONCAT, NORE or DEAU.

What it is: The kind of code used: ALGO, NIDN, CCPT, CONCAT, NORE or DEAU.
Where to find it: Follows from the ID used.
Watch out for: Must agree with the execution decision ID.
Allowed values: ALGO Algorithm
NIDN National ID number
CCPT Passport number
CONCAT CONCAT code
NORE Client decided (no one in the firm)
DEAU Direct electronic access user
FCA reference: Part of field 59