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    Regulatory Reporting SFTR

    For counterparties clearing buy and sellbacks with Nasdaq Clearing

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    SFTR Reporting

    Under Article 4 of the Securities Financing Transactions Regulation (SFTR), counterparties to SFTs shall report SFTs they have concluded, as well as any modification or termination thereof, to a trade repository.

    As the CCP, Nasdaq Clearing is under obligation to report data related to and trades and positions cleared with the clearing house. This page describes how Nasdaq reports and how necessary data can be sourced to allow Nasdaq Clearing counterparts to align their reporting to achieve pairing and matching of trades and positions.

    Nasdaq Clearing Counterparty Details

    • Legal name: Nasdaq Clearing AB
    • Legal entity identifier (LEI): 54930002A8LR1AAUCU78
    • Trade repository: DTCC

    Under Article 4 of the Securities Financing Transactions Regulation (SFTR), counterparties to SFTs shall report SFTs they have concluded, as well as any modification or termination thereof, to a trade repository.

    As the CCP, Nasdaq Clearing is under obligation to report data related to and trades and positions cleared with the clearing house. This page describes how Nasdaq reports and how necessary data can be sourced to allow Nasdaq Clearing counterparts to align their reporting to achieve pairing and matching of trades and positions.

    Nasdaq Clearing Counterparty Details

    • Legal name: Nasdaq Clearing AB
    • Legal entity identifier (LEI): 54930002A8LR1AAUCU78
    • Trade repository: DTCC
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    Unique Transaction Identifiers (UTIs) for Cleared Buy/Sellbacks

    Nasdaq Clearing generates UTIs for cleared buy/sellbacks on transaction level and makes them available for reporting counterparts in relevant systems. Counterparts to the clearing house are expected to use UTIs generated by Nasdaq Clearing in their reporting.

    Reportable Fields

    Detailed information on how Nasdaq Clearing populates reportable fields for buy and sellbacks is available in the SFTR Reporting Handbook in the Resource Center.

    SFTR Reporting Handbook (in Resource Center)

    Nasdaq Clearing generates UTIs for cleared buy/sellbacks on transaction level and makes them available for reporting counterparts in relevant systems. Counterparts to the clearing house are expected to use UTIs generated by Nasdaq Clearing in their reporting.

    Reportable Fields

    Detailed information on how Nasdaq Clearing populates reportable fields for buy and sellbacks is available in the SFTR Reporting Handbook in the Resource Center.

    SFTR Reporting Handbook (in Resource Center) ->

    Data Available from Clearing House

    Nasdaq Clearing provides its counterparts with data reports for SFTR reporting purposes: one report for Table 1 and 2 and one report for Table 3 of SFTR. Both reports are available on a daily basis in the Genium INET clearing system.

    • Table 1 and 2 Report: reportable values for transactions, collateral updates and terminations, including specific counterparty data
    • Table 3 Report: margin data, including specific counterparty data

    Sample reports are available in the Resource Center below.

    Data can also be sourced from other reports and directly through the clearing system API. Contact the clearing house for more information or visit Genium INET Protocol Specifications.

    Genium INET Protocol Specifications

    Nasdaq Clearing provides its counterparts with data reports for SFTR reporting purposes: one report for Table 1 and 2 and one report for Table 3 of SFTR. Both reports are available on a daily basis in the Genium INET clearing system.

    • Table 1 and 2 Report: reportable values for transactions, collateral updates and terminations, including specific counterparty data
    • Table 3 Report: margin data, including specific counterparty data

    Sample reports are available in the Resource Center below.

    Data can also be sourced from other reports and directly through the clearing system API. Contact the clearing house for more information or visit Genium INET Protocol Specifications.

    Genium INET Protocol Specifications ->
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    While Nasdaq Clearing has used reasonable endeavors to ensure that the data of any issued report is correct, Nasdaq Clearing assumes no responsibility or liability for any errors or omissions in the content of such reports, or for the result of use of any information contained therein. Any information given in reports shall not be construed to alter the clearing member's or non-clearing member’s obligations and liabilities under the Clearing Rules of Nasdaq Derivatives Market and/or Clearing Rules for Commodity Derivatives, as applicable, and related agreements.

    While Nasdaq Clearing has used reasonable endeavors to ensure that the data of any issued report is correct, Nasdaq Clearing assumes no responsibility or liability for any errors or omissions in the content of such reports, or for the result of use of any information contained therein. Any information given in reports shall not be construed to alter the clearing member's or non-clearing member’s obligations and liabilities under the Clearing Rules of Nasdaq Derivatives Market and/or Clearing Rules for Commodity Derivatives, as applicable, and related agreements.

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