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Reporting Instructions Double Volume Cap System15 June 2017 EMMA/2016/1524Date: 15 June2017 EMMA/2016/1524Document control: VersionDateAuthorComments126/10/2016ESMAVersion 1 for publication1.115/06/2017ESMAUpdated

How to fill out double volume cap system

How to fill out double volume cap system:

1. Gather all necessary information and documentation required to complete the double volume cap system form. This may include details about the financial institution, relevant trading activities, and any applicable regulatory requirements.
2. Start by carefully reading the instructions and guidelines provided with the form. This will help you understand the purpose of the double volume cap system and ensure accurate completion.
3. Begin filling out the form by entering the required identification details, such as name, contact information, and any unique identifiers assigned by the regulatory authority.
4. Proceed to the section where you will need to specify the trading activities that are subject to the double volume cap system. Provide accurate information regarding the types of instruments traded, markets involved, and the time period for which the system will be applicable.
5. Ensure that you accurately calculate the volume thresholds for the trading activities. These thresholds may vary based on the specific regulatory requirements and need to be entered correctly to determine compliance with the double volume cap system.
6. If there are any exemptions or waivers applicable to certain trading activities, make sure to clearly indicate them in the form. This may involve providing additional supporting documentation or explaining the reasoning behind the exemptions.
7. Review all the information filled out in the form to ensure accuracy and completeness. Double-check that all the necessary sections have been addressed and the required fields have been filled.
8. Once you are satisfied with the accuracy of the form, sign and date it as required. If there are any additional documents or attachments required, make sure to include them with the completed form.
9. Submit the filled-out double volume cap system form to the appropriate regulatory authority or compliance department, following their submission guidelines. Keep a copy of the completed form and any supporting documentation for your records.

Who needs double volume cap system:

1. Financial institutions engaged in trading activities that are subject to regulatory volume limits may require a double volume cap system.
2. Market participants trading in instruments within the European Union, where the double volume cap system is implemented as part of the MiFID II regulations, are likely to need this system.
3. Trading firms or individuals who are looking to stay compliant with regulations and ensure that their trading activities align with volume thresholds imposed by regulatory authorities may also require a double volume cap system.

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What is double volume cap system?

The double volume cap system is a regulatory mechanism established to limit the amount of dark pool trading in European markets.

Who is required to file double volume cap system?

Investment firms and trading venues operating in the European Union are required to file double volume cap system data.

How to fill out double volume cap system?

The double volume cap system can be filled out by submitting trading data to the relevant regulatory authorities in accordance with the reporting requirements.

What is the purpose of double volume cap system?

The purpose of the double volume cap system is to promote transparency and ensure that a fair and orderly market is maintained.

What information must be reported on double volume cap system?

Information such as the volume of trades conducted on dark pools, the type of financial instruments traded, and the market participants involved must be reported on the double volume cap system.