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Notification DPE

Notifications of a Designated Publishing Entity (DPE)-status registration (in accordance with Article 21a of Regulation No 600/2014, MiFIR) can be sent to DPE-register@afm.nl. The AFM will forward this notification to ESMA for entry in the DPE register.

Notifications

Notifications for DPE registration can be sent:

  • to DPE-register@afm.nl
  • in below given format
  • as an attachment to the email message
  • with the subject “DPE Registration – [Entity Name]”

Specifications

For a quick registration, please submit the data in accordance with the specifications below;

SpecificationDescription 
SpecificationFile type Description Microsoft Excel
SpecificationFile extensionDescription .xslx
Specification File nameDescription [Company name (max 10 characters), yyyymmdd]

Fields and data

The file must always contain the fields and data that are listed in the table below. In addition, the fields must be processed in the same order and according to an identical notation, including punctuation, upper case and lower case letters.

OrderColumn nameRequired fieldInstruction
Order1Column nameNCA_COURequired fieldYesInstructionCountry code (The Netherlands: NL)
Order2Column nameLEIRequired fieldYesInstructionLEI-code
Order3Column nameFINANCIAL_INSTRUMENTRequired fieldYesInstructionTo identify the instruments for which the company would like to be registered as DPE, please choose from the below given options. Please enter one option per row. The use of multiple rows is allowed.
  • BOND (Bonds)
  • IRDV (Interest Rate Derivatives)
  • SFPS (Structured Finance Products)
  • CRDV (Credit Derivatives)
  • ETCS (ETCs)
  • ETNS (ETNs)
  • EMAL (Emission Allowances)
  • SHRS (Shares)
  • ETFS (ETFs)
  • CRFT (Certificates)
  • DPRS (Depositary Receipts)
  • OTHR (Other Equity-like Financial Instruments)
Order4Column nameFINSTR_AUTHORISATION_ACTIONRequired fieldYesInstruction‘A’ for authorization, ‘W’ for withdrawal of registration.
Order5Column nameFINSTR_AUTHORISATION_ACTION_DATERequired fieldYesInstructionDate on which you would like the registration or withdrawal to become effective.
Order6Column nameUPDATERequired fieldYesInstructionDate of communication of request for registration/withdrawal to the AFM (yyyymmdd).
Order7Column nameae_thirdCountryFlagRequired fieldYesInstructionIf the DPE is is a branch of a third country firm, introduce ‘TRUE’, if not ‘FALSE’.
Order8Column nameae_thirdCountryRequired fieldYesInstructionIf the DPE is is a branch of a third country firm, introduce the ISO country code for the third country, if not, leave empty.