# Basic Reporting template guide

Download the template, with these examples in it: https://basicreporting.com/template.csv

- 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.
- To correct a report, send the CANC row first and the corrected row (same transaction_reference) in a separate file.
- Dates are in YYYY-MM-DD format. 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 and venue_transaction_id only if the firm executed under its own membership.
- On a venue with a central counterparty, the other side of the 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

| Column | Value |
|---|---|
| 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

| Column | Value |
|---|---|
| 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

| Column | Value |
|---|---|
| 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

| Column | Value |
|---|---|
| report_status | CANC |
| transaction_reference | EXAMPLE0001 |
| executing_entity_lei | EXAMPLEFIRM000000014 |

## Every column

### report_status

- 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 for a new report)

- 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

- 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 for a new report)

- 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

- 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 for a new report)

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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 for a new report)

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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 for a new report)

- 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 for a new report)

- 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 for a new report)

- 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 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

- 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

- 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

- 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

- 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

- 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 for a new report)

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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

- 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