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picture1_Esma70 155 9966 Annex To Opinion On Mifir Transparency


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File: Esma70 155 9966 Annex To Opinion On Mifir Transparency
sheet 1 explanatory note annex to esma opinion on thirdcountry trading venues for the purpose of transparency mifir version 3 published on 11 june 2020 the list included in the ...

icon picture XLSX Filetype Excel XLSX | Posted on 16 Aug 2022 | 3 years ago
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Sheet 1: Explanatory Note



























































































































































































Annex to ESMA Opinion on third-country trading venues for the purpose of transparency MiFIR


























































Version 3 Published on 11 June 2020























































The list included in the tab "List Transparency" is the Annex referred to in ESMA's Opinion determining third-country trading venues for the purpose of transparency under MiFID II / MiFIR (ESMA70-154-165)










































Trading venues on the list with a positive assessment:

For some venues, the conditions referred to in paragraph 10 of the Opinion are met for all the asset classes available on the venue, and listed in the column "Instruments in scope of the assessment" (Column G).
In such cases, the column "Assessment" (Column H) states "Positive" and the column "Exemptions from the positive assessment" (Column I) states "none".

Investment firms concluding transactions in ToTV instruments on those venues are not required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR.













Trading venues on the list with a partially positive assessment:

For some venues, the conditions referred to in paragraph 10 of the Opinion are met only for a subset of the asset classes available on the venue.
In such cases, the column "Assessment" (Column H) states "Partially Positive" and the column "Exemptions from the positive assessment" (Column I) describes the instruments for which the assessment is not positive.

With respect to instruments mentioned in Column I, investment firms concluding transactions in ToTV instruments on those venues are required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR by 3 October 2020.

With respect to instruments not mentioned in Column I, investment firms concluding transactions in ToTV instruments on those venues are not required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR.













Trading venues not on the list:

As of 3 June 2020 ESMA has completed the assessment of all the trading venues in respect of which the assessment is expected to be relevant.
Hence, trading venues not included on that list are deemed not to meet the conditions referred to in paragraph 10 of the Opinion.

Investment firms concluding transactions in ToTV instruments on those venues are required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR by 3 October 2020.

Requests to assess additional trading venues can be sent by EU market participants to ESMA by email at TCTV-secondary-markets@esma.europa.eu














Sheet 2: List Transparency
ESMA ID Trading Venue Name Operating MIC Segment MIC Country Competent Authority Instruments in scope of the assessment Assessment Exemptions from the positive assessment Last update
AR1001 Bolsas y Mercados Argentinos S.A. N/A N/A Argentina Comisión Nacional de Valores (CNV) shares, depositary receipts, bonds, structured finance products and derivatives Positive None 6/3/2020
AR1002 Matba Rofex S.A. ROFX N/A Argentina Comisión Nacional de Valores (CNV) shares, bonds and derivatives Positive None 6/3/2020
AR1003 Mercado Abierto Electrónico S. A. N/A N/A Argentina Comisión Nacional de Valores (CNV) shares, depositary receipts, bonds and derivatives Positive None 6/3/2020
AU1003 ASX XASX XASX Australia Australian Securities and Investments Commission (ASIC) shares, ETFs, depositary receipts, bonds, structured finance products and derivatives Positive None 6/3/2020
AU1002 ASX 24 XASX XSFE Australia Australian Securities and Investments Commission (ASIC) derivatives Positive None 6/3/2020
AU1005 Chi-X Australia Pty Ltd CHIA N/A Australia Australian Securities and Investments Commission (ASIC) shares, ETFs, depositary receipts and derivatives Positive None 6/3/2020
BR1001 Brasil, Bolsa, Balcão (B3) S.A. BVMF BVMF Brazil Comissão de Valores Mobiliários (CVM) shares, ETFs, depositary receipts, certificates, bonds and derivatives Positive None 6/3/2020
CA1015 TSX Venture Exchange XTSX N/A Canada Alberta Securities Commission (ASC) and British Columbia Securities Commission (BCSC) shares Positive None 6/3/2020
CA1002 Canadian Securities Exchange Markets Inc. N/A N/A Canada Ontario Securities Commission (OSC) shares, ETFs, depositary receipts, bonds and structured finance products Positive None 6/3/2020
CA1006 Instinet Canada Cross Limited N/A N/A Canada Ontario Securities Commission (OSC) shares and ETFs Positive None 6/3/2020
CA1016 Liquidnet Canada Inc. N/A N/A Canada Ontario Securities Commission (OSC) shares, ETFs and bonds Partially Positive Bonds 6/3/2020
CA1007 LYNX ATS OMGA LYNX Canada Ontario Securities Commission (OSC) shares and ETFs Positive None 6/3/2020
CA1010 Nasdaq CXC Limited CHIC N/A Canada Ontario Securities Commission (OSC) shares and ETFs Positive None 6/3/2020
CA1001 NEO Exchange Inc. NEOE NEOE, NEON, NEOD, NEOC Canada Ontario Securities Commission (OSC) shares, ETFs and structured finance products Positive None 6/3/2020
CA1011 Omega ATS OMGA OMGA Canada Ontario Securities Commission (OSC) shares and ETFs Positive None 6/3/2020
CA1013 Toronto Stock Exchange XTSE N/A Canada Ontario Securities Commission (OSC) shares, ETFs and structured finance products Positive None 6/3/2020
CA1009 TriAct Canada Marketplace LP (which operates MATCHNow) MATN N/A Canada Ontario Securities Commission (OSC) shares Positive None 6/3/2020
CA1014 TSX Alpha Exchange XATS N/A Canada Ontario Securities Commission (OSC) shares, ETFs and structured finance products Positive None 6/3/2020
CL1001 Bolsa Comercio Santiago N/A N/A Chile Chilean Financial Markets Commission (CFM) shares, ETFs, depositary receipts, certificates, bonds and derivatives Positive None 6/3/2020
CN1004 China Financial Futures Exchange CCFX N/A China China Securities Regulatory Commission (CSRC) derivatives Positive None 6/3/2020
CN1006 Shanghai International Energy Exchange XSGE XINE China China Securities Regulatory Commission (CSRC) derivatives Positive None 6/4/2020
CN1005 Shanghai Futures Exchange XSGE XSGE China China Securities Regulatory Commission (CSRC) derivatives Positive None 6/4/2020
CO1001 Bolsa de Valores de Colombia S.A. XBOG N/A Colombia Superintendencia Financiera de Colombia (SFC) shares, ETFs, certificates, bonds and derivatives Positive None 6/3/2020
DI1001 Nasdaq Dubai Limited DIFX NDXB Dubai International Financial Centre Dubai Financial Services Authority (DFSA) shares, depositary receipts and derivatives Positive None 6/3/2020
HK1001 Hong Kong Futures Exchange Limited XHKF XHKF China Securities and Futures Commission (SFC) derivatives Positive None 6/11/2020
HK1002 The Stock Exchange of Hong Kong Limited XHKG SHSC, SZSC China Securities and Futures Commission (SFC) shares, ETFs, depositary receipts, bonds, structured finance products and derivatives Positive None 6/11/2020
IN1001 National Stock Exchange of India Limited XNSE N/A India Securities and Exchange Board of India (SEBI) shares, ETFs, depositary receipts, certificates, bonds, structured finance products and derivatives Positive None 6/3/2020
IN1003 NSE IFSC Limited XNSE INSE India Securities and Exchange Board of India (SEBI) bonds and derivatives Positive None 6/3/2020
IL1001 The Tel-Aviv Stock Exchange Ltd. XTAE N/A Israel Israel Securities Authority (ISA) shares, ETFs, bonds, structured finance products and derivatives Positive None 6/3/2020
JP1001 Bloomberg Tradebook Japan Limited BETP BETP Japan Financial Services Agency of Japan (JFSA) derivatives Positive None 6/3/2020
JP1002 Chi-X Japan CHIJ N/A Japan Financial Services Agency of Japan (JFSA) shares, ETFs and bonds Positive None 6/3/2020
JP1003 Fukuoka Stock Exchange XFKA N/A Japan Financial Services Agency of Japan (JFSA) shares, ETFs and bonds Positive None 6/3/2020
JP1005 Nagoya Stock Exchange XNGO N/A Japan Financial Services Agency of Japan (JFSA) shares, ETFs and bonds Positive None 6/3/2020
JP1007 Sapporo Securities Exchange XSAP N/A Japan Financial Services Agency of Japan (JFSA) shares, ETFs and bonds Positive None 6/3/2020
JP1008 SBI Japannext SBIJ N/A Japan Financial Services Agency of Japan (JFSA) shares, ETFs and bonds Positive None 6/3/2020
JP1004 Tokyo Stock Exchange XJPX N/A Japan Financial Services Agency of Japan (JFSA) shares, ETFs and bonds Positive None 6/3/2020
JP1009 Tradeweb Japan Limited TWJP TWJT Japan Financial Services Agency of Japan (JFSA) derivatives Positive None 6/3/2020
KR1002 Korea Exchange, Inc. XKRX N/A Korea Financial Services Commission/Financial Supervisory Service (FSC/FSS) shares, ETFs, depositary receipts, certificates, bonds, emission allowances and derivatives Positive None 6/3/2020
MY1001 Bursa Malaysia XKLS XKLS and MESQ Malaysia Securities Commission (SC) shares, ETFs and exchange-traded bonds Positive None 6/3/2020
MY1002 Bursa Malaysia Derivatives XKLS N/A Malaysia Securities Commission (SC) derivatives Positive None 6/3/2020
MX1001 Bolsa Mexicana de Valores XMEX N/A Mexico Comisión Nacional Bancaria y de Valores (CNBV) shares, ETFs, depositary receipts, certificates and structured finance products Positive None 6/3/2020
MA1001 Casablanca Stock Exchange XCAS N/A Morocco Autorité Marocaine du Marché des Capitaux (AMMC) shares and bonds Positive None 6/3/2020
NZ1001 NZX Limited XNZE N/A New Zealand Financial Markets Authority (FMA) shares, ETFs, bonds and derivatives Positive None 6/3/2020
RU1001 Moscow Exchange - Derivatives market MISX RTSX Russia The Bank of Russia (CBR) derivatives Positive None 6/4/2020
RU1002 Moscow Exchange - FX market MISX MISX Russia The Bank of Russia (CBR) derivatives Positive None 6/4/2020
RU1003 Moscow Exchange - Securities Market MISX MISX Russia The Bank of Russia (CBR) shares, ETFs, depositary receipts and bonds Positive None 6/4/2020
SG1006 EEX Asia Pte. Ltd. CLTD N/A Singapore Monetary Authority of Singapore (MAS) derivatives Positive None 6/3/2020
SG1004 ICE Futures Singapore Pte. Ltd. IFSG Not applicable Singapore Monetary Authority of Singapore (MAS) derivatives Positive None 6/3/2020
SG1005 Refinitiv Transaction Services Pte Ltd RTSP RTSP Singapore Monetary Authority of Singapore (MAS) derivatives Positive None 6/3/2020
SG1002 Singapore Exchange Derivatives Trading Limited XSIM N/A Singapore Monetary Authority of Singapore (MAS) derivatives Positive None 6/3/2020
SG1003 Singapore Exchange Securities Trading Limited XSES N/A Singapore Monetary Authority of Singapore (MAS) shares, ETFs, depositary receipts, certificates, bonds and structured finance products Positive None 6/3/2020
ZA1001 Johannesburg Stock Exchange XJSE XJSE South Africa Financial Sector Conduct Authority (FSCA) shares, ETFs, depositary receipts and structured finance products Positive None 6/3/2020
ZA1002 JSE Equity Derivatives Markets XJSE XSAF South Africa Financial Sector Conduct Authority (FSCA) derivatives Positive None 6/3/2020
CH1002 SIX Corporate Bonds AG XICB N/A Switzerland Swiss Financial Market Supervisory Authority (FINMA) bonds Positive None 6/3/2020
CH1004 SIX Swiss Exchange XSWX N/A Switzerland Swiss Financial Market Supervisory Authority (FINMA) shares, ETFs, certificates, bonds and structured finance products Positive None 6/3/2020
TH1002 Thailand Futures Exchange Public Company Limited TFEX N/A Thailand Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
TH1001 The Stock Exchange of Thailand XBKK N/A Thailand Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts, certificates, bonds and structured finance products Positive None 6/3/2020
TR1001 Borsa Istanbul A. S. XIST XDSM, XEQY, XFNO, XPMS Turkey Capital Markets Board (CMB) shares, ETFs, certificates, bonds, structured finance products and derivatives Positive None 6/3/2020
AD1001 Abu Dhabi Securities Exchange XADS N/A UAE Securities and Commodities Authority (SCA) shares, ETFs and bonds Positive None 6/3/2020
AE1001 Dubai Financial Market XDFM N/A UAE Securities and Commodities Authority (SCA) shares, ETFs and bonds Positive None 6/3/2020
AE1002 Dubai Gold and Commodities Exchange DMCC DGCX N/A UAE Securities and Commodities Authority (SCA) derivatives Positive None 6/3/2020
US1004 360 Trading Networks, Inc. N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1016 BGC Derivatives Markets, L.P. N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1020 Bloomberg SEF LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1025 Cboe Futures Exchange, LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1012 Cboe SEF, LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1030 Clear Markets North America, Inc. N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1038 DW SEF LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1046 Eris Exchange, LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1048 FTSEF LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1054 GFI Swaps Exchange LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1057 ICAP Global Derivatives Limited N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1060 ICE Futures U.S., Inc. IFUS N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1061 ICE Swap Trade, LLC ICES N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1072 LatAm SEF, LLC LASF LASF United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1073 LedgerX LLC LEDG N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1077 MarketAxess SEF Corporation N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1089 North American Derivatives Exchange, Inc. N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1094 OneChicago, LLC XOCH N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1099 Refinitiv US SEF LLC THRE THRE United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1102 SwapEx, LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1103 TeraExchange, LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1104 tpSEF Inc. N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1105 TW SEF LLC N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1106 Tradition SEF, Inc. N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1107 Tassat Derivatives N/A N/A United States of America Commodity Futures Trading Commission (CFTC) derivatives Positive None 6/3/2020
US1005 Aqua Securities L.P. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1055 Archipelago Trading Services, Inc N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1009 AX Trading, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1010 Barclays Capital Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1015 BGC Financial L.P. ATS N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Partially Positive U.S. Treasury Securities 6/3/2020
US1018 BGC Financial L.P. Fenics Treasury Platform N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Partially Positive U.S. Treasury Securities 6/3/2020
US1019 BIDS Trading L.P. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1063 BOFA SECURITIES, INC. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1021 BOX Exchange LLC N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1114 Cboe BYX Exchange, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs and depositary receipts Positive None 6/3/2020
US1115 Cboe BZX Exchange, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts and derivatives Positive None 6/3/2020
US1117 Cboe C2 Exchange, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1118 Cboe EDGA Exchange, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs and depositary receipts Positive None 6/3/2020
US1119 Cboe EDGX Exchange, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts and derivatives Positive None 6/3/2020
US1024 Cboe Exchange, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1028 CITIGROUP GLOBAL MARKETS INC. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1034 CODA Markets, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1035 Credit Suisse Securities (USA) LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1036 Creditex Securities Corporation N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Partially Positive U.S. Treasury Securities 6/3/2020
US1090 Dash Financial Technologies LLC N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1039 Dealerweb, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1044 eBX LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1084 Execution Access, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Positive None 6/3/2020
US1047 FNC AG Stock, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1116 GFI Securities LLC N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Partially Positive U.S. Treasury Securities 6/3/2020
US1053 GFI Securities LLC ATS N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Partially Positive U.S. Treasury Securities 6/3/2020
US1001 GFI Securities LLC ATS LATG N/A N/A United States of America Securities and Exchange Commission (SEC) bonds Partially Positive U.S. Treasury Securities 6/3/2020
US1101 GOLDMAN SACHS & CO. LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1064 INSTINET, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1070 J.P. MORGAN SECURITIES LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1074 LIQUIDNET, INC. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1076 Luminex Trading & Analytics LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1078 Miami International Securities Exchange, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1113 MIAX PEARL, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1006 MORGAN STANLEY & CO. LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1080 Nasdaq BX, Inc. N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts and derivatives Positive None 6/3/2020
US1081 Nasdaq GEMX, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1082 Nasdaq ISE, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1083 Nasdaq MRX, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) derivatives Positive None 6/3/2020
US1085 Nasdaq Phlx, LLC N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts and derivatives Positive None 6/3/2020
US1087 New York Stock Exchange Group N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts, bonds and derivatives Positive None 6/3/2020
US1096 OTC Link LLC N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1112 PIPER JAFFRAY & CO. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1098 PRO SECURITIES, L.L.C. N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1086 The Nasdaq Stock Market LLC N/A N/A United States of America Securities and Exchange Commission (SEC) shares, ETFs, depositary receipts, certificates, bonds, structured finance products and derivatives Positive None 6/3/2020
US1108 Tullett Prebon Financial Services LLC N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1110 USTOCKTRADE SECURITIES, INC. N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1111 Variable Investment Advisors, Inc N/A N/A United States of America Securities and Exchange Commission (SEC) Not provided Partially Positive U.S. Treasury Securities 6/3/2020
US1097 VIRTU ITG LLC N/A N/A United States of America Securities and Exchange Commission (SEC) NMS Stocks Positive None 6/3/2020
US1088 NEX SEF Limited* NEXS REST United States of America and United Kingdom [1] Commodity Futures Trading Commission (CFTC) and UK Financial Conduct Authority (FCA) derivatives Positive None 6/3/2020

(*) NEX SEF is registered as a Swap Execution Facility (SEF) with the Commodity Futures Trading Commission (“CFTC”) and is also authorized by the UK Financial Conduct Authority (the “FCA”) to operate an MTF.








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...Sheet explanatory note annex to esma opinion on thirdcountry trading venues for the purpose of transparency mifir version published june list included in tab quot is referred s determining under mifid ii with a positive assessmentfor some conditions paragraph are met all asset classes available venue and listed column instruments scope assessment g such cases h states exemptions from i none investment firms concluding transactions totv those not required make posttrade transparent via an apa articles partially only subset describes which positivewith respect mentioned by october listas has completed expected be relevanthence that deemed meet opinioninvestment requests assess additional can sent eu market participants email at tctvsecondarymarkets esmaeuropaeu id name operating mic segment country competent authority last update ar bolsas y mercados argentinos sa na argentina comisi oacute n nacional de valores cnv shares depositary receipts bonds structured finance products derivatives...

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