MiFID PTTS: Post-Trade Transparency Service€¦ · MiFID PTTS: Post-Trade Transparency Service November 23rd, 2016 4 1 Revision History Date Version Description Author 28/01/2015

BTS®

MIFID PTTS:

Post-Trade Transparency Service

User Manual

November 2016

Version 1.8

Contents

1 Revision History 4

2 Introduction 5

2.1 Scope 5 2.2 References 5

3 Functions 6

3.1 Login and language selection 6 3.2 OTC Report Insert 7 3.3 Report Display 14 3.4 Modify and Remove Trades 19 3.5 Password Change 20 3.6 Exit 20

4 Technical requirements 22

5 Service Hours 23

6 Time Zones 24

Appendix – Token Based Login 26

A.1 User Set Up and First Log On 28 PTTS Logon 33 A.2 Temporary Pass Codes 34 A.3 Password Changes 35 A.4 Moving Soft Tokens Between PCs 35 A.5 Soft Token Guide 36

MiFID PTTS: Post-Trade Transparency Service November 23rd , 2016

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1 Revision History

Date Version Description Author

28/01/2015 1.6 English version aligned to Italian version

MIFID PTTS: Post-Trade Transparency Service

– Manuale utente – Versione 1.6

Borsa Italiana

13/06/2016 1.7 Two factor authentication feature Borsa Italiana

18/11/2016 1.8 Added three chapters:

- Technical requirements

- Service hours

- Time Zones

Borsa Italiana


5

2 Introduction

MIFID PTTS is a web application which enables to access via web browser the Post Trade

Transparency Service offered by Borsa Italiana on European equities instruments, Borsa Italiana

equities and bond instruments and MTS instruments.

It is possible to access the application over the Internet with a usual browser; no add-ons nor

additional components are required.

In this way it is possible not only to enter OTC orders, but also to get a list of daily activities

and query data about OTC historical activity, according to the configured user profile rights.

2.1 Scope

This document provides functional and technical information on the web application for Post

Trade Transparency services of Borsa Italiana.

This document does not provide service rules: for this information refer to the following chapter

where the reference provided as link is available at the page

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-

mit/millenniumitmigration.en.htm.

2.2 References

MIT401 - BIT - Guide to Post Trade Transparency Service - BIT - Issue 1.1

COMMISSION REGULATION (EC) No 1287/2006 of 10 August 2006

Directive 2004/39/CE (MiFID, Markets in Financial Instruments Directive)

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-mit/millenniumitmigration.en.htm

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-mit/millenniumitmigration.en.htm

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-mit/mit401-bit-guidetoposttradetransparenceyservice-issue11_pdf.htm


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3 Functions

The functions made available by MIFID PTTS service are described in the following:

1. Language selection:

the site is available in two languages:

a. English;

b. Italian;

2. OTC report input:

a. single OTC entry performed via input form;

b. multiple OTC entry performed via file;

3. OTC report query:

a. current day query of OTCs entered by the own member, filter by instrument

available;

b. query of OTCs entered by the own member in a time interval (up to three

months old), filter by instrument and data available;

c. historical query of OTCs entered (up to two years old), filter by instrument

and data available;

4. OTC report edit and cancel;

5. Password change;

The user profiles available are the following:

STANDARD profile: entitled to access all functionalities except two-year historical

queries;

ADVANCED profile: entitled to access all functionalities.

3.1 Login and language selection

The landing page of the service (https://bts-ptts.lseg.com/ for production environment,

https://bts-ptts-test.lseg.com/ for test environment) shows a login page where it is also

https://bts-ptts.lseg.com/

https://bts-ptts-test.lseg.com/


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possible to select the site language

(Italian or English).

The language selected is stored by

the browser for one year since the

latest login, unless cookies are

either disabled or are removed by

the user.

The language can be selected with

the radio buttons highlighted in

yellow in the snapshot on the

right.

It is also possible to switch the interface language later by clicking on the ‘Lingua’/’Language’

menu and selecting the item correspondent to the desired language.

The login process requires the input of some parameters provided at users configuration time:

Username

Password

Firm Code (Member code)

To enhance access robustness, upon

request users may be configured to access

the service by providing a session Token. Further details on this access method are provided in Appendix.

3.2 OTC Report Insert

OTCs may be entered one at a time or in batch mode.

3.2.1 Enter Single Trade Report

The Single Trade Entry page can be displayed by

clicking the menu item ‘Enter’ and subsequently

selecting the drop down item ‘Enter single Trade


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Report’.

When the form has been filled in and the ‘Submit’ button is pushed, validation checks are

performed; in case all fields are consistent and valid the form content is sent to the Post Trade

Transparency Service.

If the button ‘Reset’ is selected, the form is cleared for a new entry.

The time to be specified in the field ‘Trade Date’ is the trade execution time according to the

time zone of the machine where the browser is running. The application converts the time in

the correct market time zone.

An incremental search feature is

provided: while the user types in

the instrument ISIN a list of

instruments is provided, which


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match the typed string.

The final instrument selection from the dropdown takes then place:

By clicking with the mouse the item to be selected;

By typing the ‘Enter’ key;

By typing the ‘Tab’ key.

It is also possible to provide a non-listed ISIN

code: in this case the application does not

validate the value before sending to the

market, the validity check shall be performed

directly by the market.

After the form has been filled and sent to the

market either a ‘OTC Trade Confirm’ popup is

displayed with the relevant Trade ID in successful

case, or an error popup is displayed with failure

details in case of a trade rejection.

3.2.2 Enter Multiple Trade Reports

The Multiple Trade Entry page can be displayed by clicking the menu item ‘Enter’ and

subsequently selecting the drop down item ‘Enter multiple Trade

Report’: upon selection the file selection form is displayed.

To load the file just click the button ‘Browse’ and select a valid

file, which

was previously prepared.

The application accepts the following file

formats:

.xls (MS Excel 97-2003)


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.txt (Tab delimited)

.xls in .csv format

To prepare an application-compliant file, follow the following procedure:

1. Download and open with MS Excel the example file available on Borsa Italiana site

at url:

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-

mit/mifidpttsmultipleinsertiontemplate2-0-0.zip

2. Leave the header unchanged and fill the fields according to the proposed format.

Pay attention to the decimal separator and to time/date format.

3. Save the file as ‘.xls’ (Excel 97-2003 Workbook) o as .txt (Text Tab delimited).

The format to be used for file preparation as described in the previous user manual version

(save as ‘.xls’ with .csv format) is still valid, although deprecated.

In the following you can find an example of header and data structure.

— Header:

Instrument;Account Type;Quantity;Price;Venue ID;Delay Flag;Alternative Market

Indicator Type;Negotiated Price Indicator;Countervalue Threshold Overcoming;Quantity

Publication;Transaction Date;Transaction Time

— Data:

1120;T;600000;90,01;OTC;N;S;S;N;N;07/05/2012;10.01

— Data format

Field Value type

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-mit/mifidpttsmultipleinsertiontemplate2-0-0.zip

http://www.borsaitaliana.it/borsaitaliana/gestione-mercati/migrazionemillenniumit-mit/mifidpttsmultipleinsertiontemplate2-0-0.zip


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Instrument Instrument ISIN Code or InstrumentID

Account Type “O” = Own - “T” = Third

Quantity Size, no thousand separator

Price Price, no thousand separator, “,” being the decimal separator

Venue ID “OTC”

Delay Flag “N” (No) or “S” (Yes)

For non-share instruments it must be “S”

Alternative Market Indicator Type “N” (No) or “S” (Yes)

Negotiated Price Indicator “N” (No) or “S” (Yes)

Countervalue Threshold Overcoming “N” (No) or “S” (Yes)

Quantity Publication “N” (No) or “S” (Yes)

Transaction Date Trade Execution Date, format DD/MM/AAAA

Transaction Time Trade Execution Time, format HH.MM, HH:MM or HH,MM

The time to be specified in the field ‘Trade Date’ is the trade

execution time according to the time zone of the computer where

the browser is running. The application converts the time in the

correct market time zone.

E.g.: if a trade is executed at 14:00 GMT+1, and the application

is run in a server where time zone is configured as GMT, the time

to be specified is 13:00. The application converts the time into

14:00 GMT+1.

After selecting the file, the user can activate the button “Send data to market” - now enabled -

and load and display file data.


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From this table it is possible to modify field values before

sending trades to market. The change is enabled by

clicking on the relevant cell.

After entering the needed changes it is enough to press

the button “Send” to issue the loaded trades to the Post

Trade Transparency Service.

A feedback on processed trades is received from the

market and a report message is displayed to the

customer with processing summary results:

For each OTC three market statuses are

possible:

Non validated OTC;

Validated and correctly entered

OTC;

Validated and rejected OTC.


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By selecting “Close” a detailed table is displayed with the results of the multiple insertion

processing. Each trade is associated to a status icon. For successfully entered OTCs the field

“TradeID” is displayed, as well. If the status icon is clicked, further detail is provided about the

failure cause of the selected trade.

In the following table the meaning of the different status icons is provided:

Icon Description Meaning

OTC loaded, but not sent The trade has been loaded from a file, but has still to be validated

OTC not validated The validation was unsuccessful. Fields are missing or have not been

correctly populated. Details are provided by clicking on the icon. The

trade has not been sent to the Post Trade Transparency Service.

OTC validated and sent The trade has been successfully validated and sent to the Post Trade

Transparency Service, waiting for a market answer.

OTC rejected by Post

Trade Transparency

Service

The trade has been successfully validated and sent to the Post Trade

Transparency Service, but it has been rejected. To get more

information click on the icon.

OTC validated by Post

Trade Transparency

Service

The trade has been successfully validated and sent successfully to

the Post Trade Transparency Service.


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3.3 Report Display

3.3.1 Day Report

To display the page of current day trades query, select

from the menu “Query” the item “Own Trade Reports –

Today”.

In the left hand side the most meaningful fields are

displayed, in the right side scrollable window it is

possible to access the remaining trade fields.

To display entered orders it is required to select the “Submit” button. It is possible to set an

instrument filter through the incremental search field. If no instrument has been provided when

the button “Submit” is selected, no filter will be applied and all trades will be provided by the

Post Trade Transparency Service.


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If an option button (highlighted in green in the previous picture) is selected, the options

available for the selected OTC are displayed (Modify – Remove).

In the top right corner the export button is highlighted in red, through this button it is possible

to export the displayed report in a .xls (MS Excel 97-2003) file, where all the field and records

reported by the query will be stored, independently from what displayed by the browser.

The buttons on the bottom of the page allow to browse through the result pages, reporting

each page ten trades; to get an updated status of Post Trade Transparency service data it is

necessary to click the “Submit” button once more, no dynamic update is available.

Note that the amount of daily queries towards the Post Trade Transparency Service is limited

during the day.


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3.3.2 Own Trades Historical Report

To display the query of the trades sent in a period within

the previous three months (except the current day), select

from the menu “Query” the item “Own Trade Reports –

History (3 months)”.

Before sending the request by clicking the “Submit” button (highlighted in green in the picture),

it is possible to filter the query by instrument and by date. If no filter is specified, all OTCs sent

by the member in the last three months are queried on all instruments.

When the results are displayed it is possible to browse through the pages either by clicking the

“<” and “>”, or by entering the page in the “Go” field and clicking the “Go” button on the

bottom of the page.


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It is possible to export data by clicking on the button in the top right corner highlighted in red in

the following picture:

The application saves the query in a .xls file (MS

Excel 97-2003), where all the field and records

reported by the query will be stored,

independently from what displayed by the

browser. In case a high amount of data is returned, the export procedure may take some

minutes to be fulfilled.

In this phase a popup is displayed (see picture above), which may be minimized by clicking the

“Minimize” button in order to allow further activities during data download: the export process

proceeds concurrently in background and the user can perform further activities with the

application.

During data download a progression bar is displayed in the bottom right corner. When the

popup is minimized it is possible to restore the window at any time by clicking on the

progression bar.

To abort the procedure click the button “Abort process”.

3.3.3 Trades Historical Report

To display the query of the trades sent in a day within the

previous two years (except the current day), select from

the menu “Query” the item “Trade Reports – History (2

years)”.

This function offers two options:

Download own trades performed on all instruments;


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Download all trades sent on the selected day for a single instrument.

To configure and perform the query the following procedure shall be followed, with reference to

the picture below:

Select the day (highlighted in light blue) in the “Day” field; if the field is left empty, the

previous day is selected;

Select the OTC category required (own member/all OTCs, highlighted in red);

If ‘All OTCs’ has been selected in the previous step, enter the instrument selected in the

“Instrument” field (highlighted in green). If this field is left empty an error will be

returned;

Select the Excel icon (highlighted in yellow) to download the data required in a .xls file

(MS Excel 97-2003).

At this point a download status popup window is displayed, which provides the download

evolution.

In case a high amount of data is returned, the export procedure may take some minutes to be

fulfilled.

In this phase a popup is displayed (see picture

above), which may be minimized by clicking the

“Minimize” button in order to allow further

activities during data download: the export process

proceeds concurrently in background and the user can perform further activities with the

application.

During data download a progression bar is displayed in the bottom right corner.

When the popup is minimized it is possible to restore the window at any time by clicking on the

progression bar.


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To abort the procedure click the button “Abort process”.

3.4 Modify and Remove Trades

From the “Own Trade Reports – Today” window it is possible to

select the following actions when the down-arrow icon on an OTC

row is selected:

Remove OTC Trade

The OTC selected is removed upon explicit user confirmation; the operation result is reported

back to the user; in case the OTC

removal is successful the related

row in the table is disabled.

Modify OTC Trade

By selecting this option the “Modify

Own OTC Trade” pop up form is

displayed. The form is pre-compiled

with actual OTC values. The fields

may be modified, when the

“submit” button is selected, a

request is sent to the Post Trade

Transparency Service to modify the

OTC accordingly.

Note: An OTC modification is

composed by two separate

operations (cancellation and new

insert): it may happen that while

the first transaction (cancel) is

accepted, the secondo one (insert)


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is rejected by the market. In this case the OTC is cancelled and the user shall re-insert the

modified OTC manually by means of the “Enter single Trade Report” form.

3.5 Password Change

At first login time the application may require a

mandatory password change.

The form displayed provides a summary of user

credentials (on pop up top) and the fields

required to change password.

To proceed it is necessary to enter the current

and the new passwords: the latter cannot be

empty, nor shorter than eight characters. It is

not allowed to re-use the last three passwords

formerly used. When a correct password has

been entered select “Submit” to issue the password change request to the system. A

confirmation will pop up to notify the acceptance of the password change request, otherwise a

popup will report the change refusal cause.

After the first password change it is suggested to logout and re-login in the

application.

A password change may be performed by the user at

any time by clicking on the session menu item located

in the display top-right corner and selecting “Change

Password”.

3.6 Exit

By clicking on the session menu item located in the display top-right corner and selecting “Exit”


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it is possible to logoff.

After the logoff the login popup shall be displayed again.


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4 Technical requirements

MIFID PTTS is an AJAX web 2.0 based application.

Due to this technology the usual chronology buttons (back and forward) of the browser do not

work properly.

Operating requirements are:

Javascript and cookies enabled

Min. display resolution: 1024x768 pixels

Browser compatibility verified for:

o Mozilla Firefox equal or higher than version 8.0

o Microsoft IE equal or higher than version 9.0

o Opera equal or higher than version 11

o Google Chrome

Note

If the access is performed with Internet Explorer from within a local network, it is necessary to

disable the ‘Automatic Compatibility’ mode for the Intranet pages: select from the ‘Tools’ menu

the item ‘Compatibility View Settings’ and disable in the popup window the tick ‘Display intranet

sites in Compatibility View’.


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5 Service Hours

MIFID PTTS service shall take place in the following hours:

8:00 AM - 7:30 PM CET/CEST

Borsa Italiana provides own customers with a support service:

e-mail: [email protected]

phone: 0080026772000 (from mobile +39 0245411399)

available between 7:30 AM and 08:30 PM CET/CEST in trading days.


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6 Time Zones

Borsa Italiana deploys servers in different countries: according to their management service a server time setting is the

same of the country where the server is located.

When users log on MIFID PTTS via browser and enter data on the site pages, the time considered is the same as

configured on the user’s PC.

In some cases mismatches may arise among the components involved in the service delivery chain, both on server and

on client side.

Even if this aspect has been taken into account by converting data suitably, differences may still sometimes be visible.

In the following an example is provided under the following assumptions:

User’s PC time zone: WEST (UTC+1)

Environment: CDS

CDS server time zone: BST (UTC+1)

In the Note provided under the following table details are provided about the server time zones in the different

environments.

Operation Ex. Trade

Time

Note

Enter Single Trade 10:00 User’s PC time = WEST

Own Trade Status 10:00 User’s PC time for browser display

Download Own Trade Reports -

Today

10:00 Conversion from UTC into user’s PC time

Own Trade Reports – History (3

months)


Download Own Trade Reports –

History (3 months)



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Operation Ex. Trade

Time

Note

Download Own Trade Reports –

History (2 years)

11:00 DW2 time (Italy time = CET/CEST)Orario DW2 localizzato in

Italia

Upload trades from File – file content 10:00 No change: file contenti s considered as the time to be used

Upload trades from File - Displayed

content

10:00 No change: file contenti s considered as the time to be used

Note

For the different environments the following times apply:

CDS Production

Server GMT/BST CET/CEST

Own Trade Reports Today GMT/BST CET/CEST

Own Trade Reports 3 Months DB GMT/BST CET/CEST

Own Trade Reports 2 Years DB CET/CEST CET/CEST


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Appendix – Token Based Login

PTTS clients may decide to access the web pages via a token based login process to enhance

the security of the login procedure.

When subscribing via Borsa Italiana Clients Technology Service Team (referred to as CTS in the

following) it is possible to select this access typology; in this case the subscription is confirmed

by a welcome e-mail which provides further instructions for finalizing the procedure.

In this way users must authenticate themselves by submitting two codes:

the usual password, which the user themselves selects;

a passcode (token), which is either:

o generated by a software application manufactured by a third party (Secure Envoy),

which runs on the user’s PC or on the user’s mobile device (handset/tablet);

o sent by text message (SMS) to a user-defined mobile phone

Purpose of this appendix is to describe how token-enabled users access the PTTS. The section

is divided into four chapters:

Chapter A.1 describes user set up and first log on.

Users who employ a soft token application must perform the following three steps:

download and install the Secure Envoy soft token software / app to their PC / mobile

device, and configure it so that it communicates with the PTTS environment

enrol themselves by (1) authenticating on Secure Envoy web page via the soft token by

submitting their UserID, initial password and initial pass code, and then (2) submitting

further information. At this point the soft token will start to generate pass codes

log on to PTTS for the first time, which involves submitting (1) their UserID, (2) the initial

password and (3) the pass code generated by the soft token. Users are immediately obliged

to change their password. On subsequent logons users shall submit the selected password.

A user who employs text messages performs very similar steps:

enrol themselves by accessing the web page provided in the welcome mail where they

submit UserID, initial password and initial passcode and provide the destination phone

number. Once this is done, Secure Envoy starts sending passcodes by text message (SMS)

to the handset provided.


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log on PTTS for the first time as a soft token user, except that the passcode is provided via

text message.

Users are requested to complete all of these steps in one dedicated and uninterrupted session

to avoid problems with timeouts.

Chapter A.2 describes the procedure for temporary pass code setup.

Chapter A.3describes the procedure for password changes.

Chapter A.4 describes the procedure for moving soft tokens between PCs.


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A.1 User Set Up and First Log On

Download of the Secure Envoy Soft Token

A.1.1 Soft Token Users

Instructions for the configuration process are in the document “PC Soft Token” attached in Soft

Token Guide chapter and also available in the soft token zip file (see link in the next sentence).

Clients download the soft token software from

http://www.securenvoy.com/softtoken/pcdownload/pcsofttoken.zip, install the soft token

software and then configure the soft token software so that it points to the enrolment URL

https://secureauth.londonstockexchange.com/secenrol/

(https://secureauth-test.londonstockexchange.com/secenrol/ in test environment (CDS)).

Every single individual user must have a separate soft token – for example if a client has 9

users then there must be 9 soft tokens. A single instance of soft token software can support up

to 6 soft tokens.

Once installed, the client will see that their

Systray contains the following icon:

The client should then launch the soft token

software and the box displayed on the left opens.

A.1.2 Text Message Users

No step is required beyond providing the mobile number at enrolment time.

A.1.3 Enrolment

The user shall enrol only after receiving the welcome email an example of which is provided at

the end of this section.

http://www.securenvoy.com/softtoken/pcdownload/pcsofttoken.zip


https://secureauth-test.londonstockexchange.com/secenrol/


29

A.1.4 Soft Token Users

a) Select “Add”, the popup reported on the right is displayed. The user enters the Secenrol page

URL https://secureauth.londonstockexchange.com/secenrol/ (https://secureauth-test.londonstockexchange.com/secenrol/ in test

environment (CDS)) and selects ‘OK’.

b) In the following popup the ‘Username’ shall be entered as provided in the welcome mail (see the text

highlighted in yellow). This takes the form user.member. For example a username might be [email protected],

where 9999 is the MemberID, BTSUser0 is the UserID and

@bts.com is the PTTS domain for production (@bts.test.com for CDS); in the field ‘Microsoft Password’ the PTTS password

shall be entered as provided by CTS. Select ‘Submit’.

c) Enter the initial 6-digit Passcode notified to you in the

welcome e-mail, which will have been sent by no-reply-

[email protected] (no-

[email protected] for CDS)

The user will then be

requested to select two

additional security questions

and specify answers so that they can access the self

help facility (see section 5).

The enrolment process is

now complete and the soft

token will start to display

pass codes, as displayed in

the picture on the right.





mailto:[email protected]






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A.1.5 Mobile App Users

a) From the welcome mail select the enrolment site URL

https://secureauth.londonstockexchange.com/sechelpdesk

(https://secureauth-test.londonstockexchange.com/se

chelpdesk for test environment

(CDS);

b) Enter in the page opened the

UserID (in this case [email protected] or [email protected] for CDS, the field is pre-populated if the full URL is entered) and the PTTS password (field

Enter Microsoft Password).

Select Login

c) In the next page the passcode provided in

the welcome mail shall be entered. Select Login.

d) Users are now authenticated on

the enrolment page, where they can

complete the enrolment process. Select the ‘Setup My Soft Token App’ radio

button and follow the instructions detailed in the page. It is necessary to

have the SecurEnvoy app already

installed and running on the handset while following the steps.

e) Provide answers to the two secret questions, which shall be used

when accessing the self help desk page. Select ‘Continue’ to close the process.

f) On the App confirm the name to



https://secureauth-test.londonstockexchange.com/sechelpdesk






31

be assigned to the token. Tokens are now displayed and updated automatically.

A.1.6 Text Message Users

The process is very similar to a Mobile App configuration, follow the steps described in the

relevant chapter until b) included.

a) Users are now authenticated on the enrolment page, where they can complete the enrolment process. Select the ‘Send My Passcode Via SMS’ radio button and follow the

instructions detailed in the page.

b) Provide answers to the two secret questions, which shall be used when accessing

the self help desk page. Select ‘Continue’ to close the process.

c) Shortly an SMS with the first token to

be used is received on the handset selected.

A.1.7 One Swipe

In case a user has already installed and configured the soft token app on their handset, and on

their PC a webcam is installed, they can make login easier with the One Swipe method by

following the steps here described:

1. In the enrolment site page select One Swipe: a window interfacing the webcam will be

displayed

2. On the handset select ‘Swipe’ in the soft token area: a one shot QR code will be

displayed

3. Frame with the PC webcam the QR code on the handset: when the QR code is accepted the field UserID is automatically compiled


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Example Enrolment email (Welcome Mail)

A PC soft token user does not need to access the enrolment

page, on the contrary potential problems – requiring a UserID

reset – may arise in case a PC soft token user tries to access at

enrolment time the enrolment page

https://secureauth.londonstockexchange.com/secenrol/ .

From: [email protected]

Sent: Thursday, December 25, 2015 1:55 PM

To: [email protected]

Subject: BTS/PTTS HTTPS web access - Two Factor Authentication Enrolment

Importance: High

### Please ignore this email if you have already enrolled ###

The BTS/PTTS HTTPS web access uses a two factor security solution provided by SecurEnvoy to authenticate

user access.

There are a number of options how a user can authenticate themselves to use the BTS/PTTS HTTPS web

access. The options are:

- PC soft token (software installed on your computer)

- Smartphone soft token (software installed on your smartphone)

- SMS tokens (the receipt of a passcode via SMS text message)

PC Soft Token

If you intend to use the PC soft token solution, please download the appropriate software from

http://www.securenvoy.com/softtoken/pcdownload/pcsofttoken.zip and ‘Add’ a new token. Enter your username,

BTS/PTTS password (provided to you separately, to be entered in the field 'Microsoft Password') and this

passcode 703027. The PC soft token will be displayed.

Smartphone Token

If you are enrolling to use smartphone tokens, you will need to click here

https://secureauth.londonstockexchange.com/secenrol/[email protected] to register your

smartphone on the SecurEnvoy application. Beyond the pre-compiled field ‘UserID’, enter the BTS/PTTS

password which has been provided to you separately (field ‘Microsoft Password’) and – on the following page -

the passcode 703027.

SMS Token

Users preferring to receive passcodes using SMS (security tokens via SMS text messaging) will click here

https://secureauth.londonstockexchange.com/secenrol/[email protected] to register their

mobile phone to receive authentication passcodes via SMS. As part of your initial registration, you will need to

enter the passcode 703027, with the same procedure described above under PC Soft Token.

If you have any questions, please contact your Technical Account Manager in the first instance.

Notes:

- If you do not successfully complete enrolment within 30 days your account will be disabled - Your mobile number will remain confidential and will only be used for receiving SMS passcodes

To ensure that you receive this email,

please configure your spam filter to

accept an email from the address

highlighted in grey

Text highlighted

in yellow is the

userid

Text highlighted

in green is the

Passcode



33

PTTS Logon

A.1.8 Start Application

The user accesses https://bts-ptts.lseg.com/ptts/ (https://bts-ptts-test.lseg.com/ptts/ for test

environment):

Enter PTTS user’s credentials:

Username: PTTS user name, as provided by CTS

Password: PTTS password, as provided by CTS

Member Code

Token: (enabled users only, leave blank otherwise) token displayed on the PC Soft Token,

or Mobile App, or on SMS.

Click on ‘Sign In’ to finalize the authentication on PTTS.

https://bts-ptts.lseg.com/ptts/

https://bts-ptts-test.lseg.com/ptts/


34

A.2 Temporary Pass Codes

If a user is struggling with their pass code and needs to log on quickly, they can request a

temporary pass code by logging on to

https://secureauth.londonstockexchange.com/se

chelpdesk (https://secureauth-

test.londonstockexchange.com/sechelpdesk for

test environment (CDS):

a) Enter the UserID as provided in the welcome mail (format:

[email protected] for production, [email protected] for CDS).

Select ‘Login’

b) In the next form enter PTTS password. Select ‘Login’

c) One of the two secret questions

provided at enrolment time is asked. Enter

the answer and select ‘Login’

d) Enter (if desired) a new phone

number to be used for SMS tokens and/or a Temporary Passcode, which

will be in force for the number of days

selected in the relevant field, Click on ‘Continue’ to confirm the update. User

shall login on PTTS by using the








35

passcode provided. In case a new phone number was specified please use the token

sent via SMS to the new number. Using a temporary passcode does not require a password change.

Note that since temporary passcodes represent a security risk, to limit their use users are

allowed to make one request every 30 days.

Users can also re-enrol by using temporary pass codes.

For example, text message users can re enrol to the URL provided in the welcome email to

specify a different mobile phone number.

Once re enrolment is complete, the codes sent to the mobile phone supersede the temporary

passcode.

A.3 Password Changes

A.1.9 User Initiated Password Changes

When users change their password by own initiative no requirement to re-enrol is issued.

A.1.10 Forgotten Passwords

When users forget their password, they inform CTS staff who reset the account and provide the

user with a new password. The account reset generates an email sent to the user with a new

initial passcode.

The user must then re-enrol as described previously.

A.4 Moving Soft Tokens Between PCs

Users can only have a single instance of a soft token (they cannot have the same soft token

running on multiple PCs). If the soft token is moved between two PCs, a re-enrolment has to be

performed on the destination PC.

The steps to be performed are:

Download and install the soft token software on the new PC as described in section 4.1 of

this document

Enrol as described in section 4.2 of this document, but using the pass code generated by

the soft token on the old PC (or if that is not available the passcode from the self help

facility, see section 5.1).


36

Log on to PTTS using the pass code generated on the new PC. You will not be obliged to

change password.

Finally, delete the soft token on the old PC as this will no longer work.

if a organisation employs a set up under which users are allocated to different PCs each day

(for example a terminal server arrangement), the soft token will not work unless it is re-enrolled

daily. The options are either to bind the user to a particular terminal server, or to change from

a soft token to text messages or phone/tablet app.

A.5 Soft Token Guide

You can find Secure Envoy Soft Token Guide below:

PC Soft Token.pdf

Disclaimer Heading

This document contains text, data, graphics, photographs, illustrations, artwork, names, logos, trade marks, service marks and information (“Information”) connected with Borsa Italiana S.p.A. (“Borsa Italiana”). Borsa Italiana attempts to ensure Information is accurate, however Information is provided “AS IS” and on an “AS AVAILABLE” basis and may not be accurate or up to date. Information in this document may or may not have been prepared by Borsa Italiana and in this last case is made available without responsibility on the part of Borsa Italiana.

The publication of this document does not represent solicitation, by Borsa Italiana, of public saving and is not to be considered as a recommendation by Borsa Italiana as to the suitability of the investment, if any, herein described.

Contact Details

Borsa Italiana Clients Technology Service Team

Technical Account Management Italy

[email protected]

+39 02 72426348/606/333

Service Desk Italy

[email protected]

Toll Free: 0080026772000

From mobile: +39 02 45411399

Documents

MiFID PTTS: Post-Trade Transparency Service€¦ · MiFID PTTS: Post-Trade Transparency Service November 23rd, 2016 4 1 Revision History Date Version Description Author 28/01/2015