Distributor Oversight Reporting (DOR)

MiFID II requires that distributors should report all sales made into the negative target market and sales outside the positive target market, if they do not comply with the client type or knowledge and experience. For this reason, distributors must be able to generate the “Distributor Oversight Report” (DOR). On the other hand, manufacturer have to be able to process the received reporting.

openfunds decided not to implement the DOR fields in the next version 1.25 as it is not yet defined in the industry how to handle the data. The fields will be added in one of the versions after 1.25 in the standard. Since the Distributor Oversight Reporting is still a discussion point within the industry, these fields could change in future versions. Please also note that this page is for pre-information purposes only and is not yet final.

  • OFUP000005 DOR Period Start
  • OFUP000010 DOR Period End
  • OFUP000500 DOR Report Status
  • OFUP000505 DOR Report Format
  • OFUP000600 DOR Reference Currency
  • OFUP000610 DOR Aggregated Value Share Class
  • OFUP000620 DOR Transaction Reference Code
  • OFUP000623 Transaction Status
  • OFUP000625 Transaction End Investor Type
  • OFUP000627 Transaction Distribution Channel
  • OFUP000629 Neither NTM Nor NDC Value – updated on 2018-09-13
  • OFUP000630 Investor Type NTM Value
  • OFUP000631 Investor Type NTM Transactions
  • OFUP000635 Knowledge And Experience NTM Value
  • OFUP000636 Knowledge And Experience NTM Transactions
  • OFUP000640 Ability To Bear Losses NTM Value
  • OFUP000641 Ability To Bear Losses NTM Transactions
  • OFUP000645 Risk Tolerance NTM Value
  • OFUP000646 Risk Tolerance NTM Transactions
  • OFUP000650 Client Objectives NTM Value
  • OFUP000651 Client Objectives NTM Transactions
  • OFUP000660 Execution Only NDC Value
  • OFUP000661 Execution Only NDC Transactions
  • OFUP000665 XO Appropriateness Test Failed NDC Value
  • OFUP000666 XO Appropriateness Test Failed NDC Transactions
  • OFUP000670 Execution With Appropriateness NDC Value
  • OFUP000671 Execution With Appropriateness NDC Transactions
  • OFUP000675 Investment Advice NDC Value
  • OFUP000676 Investment Advice NDC Transactions
  • OFUP000680 Portfolio Management NDC Value
  • OFUP000681 Portfolio Management NDC Transactions
  • OFUP001000 Distributor Name
  • OFUP001001 LEI Of Distributor
  • OFUP001003 Distributor Reference Number
  • OFUP001005 Distribution Country – updated on 2018-09-13
  • OFUP001010 Next Upstream Reporting Entity Name – updated on 2018-09-13
  • OFUP001012 Next Upstream Reporting Entity Type
  • OFUP001013 Next Upstream Reporting Entity Type Email – updated on 2018-09-21