COBS 16 Annex 1R Trade confirmation and periodic information1

This annex forms part of COBS 16.2.1 R

The information below must be provided, where relevant for the purposes of reporting to a retail client, in accordance with SUP 17 Annex 1

(1) Trade confirmation information

(2) Periodic information (where trade confirmation information is not provided on a transaction by transaction basis, to be provided for each transaction carried out during the reporting period)

General

1.

the reporting firm identification;

Y

2.

the name or other designation of the client;

Y

3.

the trading day;

Y

Y

4.

the trading time;

Y

Y

5.

the type of the order (for example, a limit order or a market order);

Y

Y

6.

the venue identification;

Y

Y

7.

the instrument identification;

Y

Y

8.

the buy/sell indicator;

Y

Y

9.

the nature of the order if other than buy/sell;

Y

Y

10.

the quantity;

Y

Y

11.

the unit price;

Y

Y

12.

the total consideration;

Y

Y

13.

a total sum of the commissions and expenses charged (for a collective investment scheme4 operator, initial charges may be disclosed in cash or percentage terms)3and, where the retail client so requests, an itemised breakdown, including, where relevant,3 the amount of any mark-up or mark-down imposed by the firm or its associate where the firm or associate acted as principal in executing the transaction, and the firm owes a duty of best execution to the client2;

4

Y

Y

214.

the rate of exchange obtained where the transaction involves a conversion of currency;

Y

Y

15.

[intentionally blank]

16.

[intentionally blank]

17.

the client's responsibilities in relation to the settlement of the transaction, including the time limit for payment or delivery as well as the appropriate account details where these details and responsibilities have not previously been notified to the client; and

Y

18.

if the client's counterparty was the firm itself or any person in the firm's group or another client of the firm, the fact that this was the case unless the order was executed through a trading system that facilitates anonymous trading.

Y

[Note: article 40(4) and recital 64 to the MiFID implementing Directive]

A firm may provide the client with the information referred to in this Annex using standard codes if it also provides an explanation of the codes used.

[Note: article 40(5) of the MiFID implementing Directive]