Sales_OTM_NTM

/FundsXML4/RegulatoryReportings/DirectReporting/EFTs/EFT/DeviationReportManufacturerTargetMarketPerspective/Sales_OTM_NTM

Diagram

Sales_OTM_NTM Sales Outside Target Market (OTM) and/or in Negative Target Market (NTM) - Reported as Number of Transactions RetailInvestorTypeAndSelfService xs:int 0..1 RetailInvestorTypeAndExecutionWithSuitabilityTest xs:int 0..1 KnowledgeAndExperienceAndSelfService xs:int 0..1 KnowledgeAndExperienceAndWithSuitabilityTest xs:int 0..1 AbilityToBearLossesAndWithSuitabilityTestFrance xs:int 0..1

Documentation

Sales Outside Target Market (OTM) and/or in Negative Target Market (NTM) - Reported as Number of Transactions

Properties

Type
(anonymous)
Cardinality
0..1
Namespace
xs = "http://www.w3.org/2001/XMLSchema"
altova = "http://www.altova.com/xml-schema-extensions"
ds = "http://www.w3.org/2000/09/xmldsig#"
Level
6
Sample Data

Child Elements & Attributes

Name (XPath) Type Documentation Sample Data
/RegulatoryReportings/.../RetailInvestorTypeAndSelfService xs:int

05010_Retail_Investor_Type_AND_Self_Service
Number of transactions reported as identified in conflict with Retail Investor Type, using MiFID services Execution Only or Self Service with Appropriateness Test
If 00050 is set to M or B

698
/RegulatoryReportings/.../RetailInvestorTypeAndExecutionWithSuitabilityTest xs:int

05020_Retail_Investor_Type_AND_Execution_With_Suitability_Test
Number of transactions reported as identified in conflict with Retail Investor Type, using MiFID services Advice or Portfolio Management.

2228
/RegulatoryReportings/.../KnowledgeAndExperienceAndSelfService xs:int

05030_Knowledge_and_Experience_AND_Self_Service
Number of transactions reported as identified in conflict with Knowledge and Experience, using MiFID services Execution Only or Self Service with Appropriateness Test.

4125
/RegulatoryReportings/.../KnowledgeAndExperienceAndWithSuitabilityTest xs:int

05040_Knowledge_and_Experience_AND_With_Suitability_Test
Number of transactions reported as identified in conflict with Knowledge and Experience, using MiFID services Advice or Portfolio Management.

1576
/RegulatoryReportings/.../AbilityToBearLossesAndWithSuitabilityTestFrance xs:int

05050_Ability_To_Bear_Losses_AND_With_Suitability_Test_France
Number of transactions reported as identified in conflict with Ability To Bear Losses, using MiFID services Advice or Portfolio Management.

1802

XML Snippet

<xs:element xmlns:altova="http://www.altova.com/xml-schema-extensions"
            xmlns:ds="http://www.w3.org/2000/09/xmldsig#"
            xmlns:xs="http://www.w3.org/2001/XMLSchema"
            minOccurs="0"
            name="Sales_OTM_NTM">
   <xs:annotation>
      <xs:documentation>Sales Outside Target Market (OTM) and/or in Negative Target Market (NTM) - Reported as Number of Transactions</xs:documentation>
   </xs:annotation>
   <xs:complexType>
      <xs:sequence>
         <xs:element minOccurs="0" name="RetailInvestorTypeAndSelfService" type="xs:int">
            <xs:annotation>
               <xs:documentation>05010_Retail_Investor_Type_AND_Self_Service
Number of transactions reported as identified in conflict with Retail Investor Type, using MiFID services Execution Only or Self Service with Appropriateness Test
If  00050 is set to M or B</xs:documentation>
            </xs:annotation>
         </xs:element>
         <xs:element minOccurs="0"
                     name="RetailInvestorTypeAndExecutionWithSuitabilityTest"
                     type="xs:int">
            <xs:annotation>
               <xs:documentation>05020_Retail_Investor_Type_AND_Execution_With_Suitability_Test
Number of transactions reported as identified in conflict with Retail Investor Type, using MiFID services Advice or Portfolio Management.</xs:documentation>
            </xs:annotation>
         </xs:element>
         <xs:element minOccurs="0"
                     name="KnowledgeAndExperienceAndSelfService"
                     type="xs:int">
            <xs:annotation>
               <xs:documentation>05030_Knowledge_and_Experience_AND_Self_Service
Number of transactions reported as identified in conflict with Knowledge and Experience, using MiFID services Execution Only or Self Service with Appropriateness Test.</xs:documentation>
            </xs:annotation>
         </xs:element>
         <xs:element minOccurs="0"
                     name="KnowledgeAndExperienceAndWithSuitabilityTest"
                     type="xs:int">
            <xs:annotation>
               <xs:documentation>05040_Knowledge_and_Experience_AND_With_Suitability_Test
Number of transactions reported as identified in conflict with Knowledge and Experience, using MiFID services Advice or Portfolio Management.</xs:documentation>
            </xs:annotation>
         </xs:element>
         <xs:element minOccurs="0"
                     name="AbilityToBearLossesAndWithSuitabilityTestFrance"
                     type="xs:int">
            <xs:annotation>
               <xs:documentation>05050_Ability_To_Bear_Losses_AND_With_Suitability_Test_France
Number of transactions reported as identified in conflict with Ability To Bear Losses, using MiFID services Advice or Portfolio Management.</xs:documentation>
            </xs:annotation>
         </xs:element>
      </xs:sequence>
   </xs:complexType>
</xs:element>