SFTR – Transaction Reporting

Securities Financing Transactions Regulation (SFTR) is a European Union regulation, introduced in January 2016, that aims to reduce systemic risk in the Securities Financing Transaction (SFT) market by increasing transparency and surveillance. Transaction Reporting of SFTs commenced 11 July 2020 with a phased go-live depending on counterparty type.

Phase 1: Investments Firms & Credit Institutions
(11 July 2020)

Phase 2: CCPs & CSDs
(11 July 2020)

Phase 3: Other Financial Counterparties
(11 Oct 2020)

Phase 4: Non Financial Counterparties
(11 Jan 2021)

In terms of products, Repurchase Agreements, Securities Borrowing and Lending, Buy Sell Backs, and Margin Lending (in relation to Prime Brokerage business) are in scope for SFTR. There is a total of 155 data fields to be reported, however combinations will be dependent on product and report action type.

Please see our FAQs below for further information on SFTR  transaction reporting

SFTR FAQs (as at August 2020 )

Contact us

Please do not hesitate to contact us if you have any further questions relating to SFTR. Alternatively, please reach out to your usual UBS contact.