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 is monitoring the development of the DOR in the market and will take any necessary measures. The fields listed below are currently planned for this topic. Please also consider the Distributor Reproting Guide . Please note this page is only for pre-informative purposes and not yet final. Additional information will follow.

 

  • 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
  • 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