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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|20/01/2011||2011/16||Letter to the SEC- Rulemakings on Registration of non-resident Swap Data Repositories||MiFID - Secondary Markets||Letter||PDF
|23/03/2011||2011/36||Public statement- Framework for third country prospectuses under Article 20 of the Prospectus Directive||Prospectus, Corporate Disclosure||Statement||PDF
|23/03/2011||2011/37||Public statement- ESMA statement on Israeli laws and regulations on prospectuses||Prospectus, Corporate Disclosure||Statement||PDF
|20/01/2011||2011/4||Letter to the CFTC- Rulemakings on Registration of foreign Swap Data Repositories and Foreign Boards of Trade||MiFID - Secondary Markets||Letter||PDF
|06/01/2012||2012/10||Interpretation of the Mineral Companies Recommendations for cement companies||Prospectus, Corporate Disclosure||Letter||PDF
|Open letter regarding Interpretation of the Mineral Companies Recommendations for cement companies|
|01/03/2012||2012/138||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Letter||PDF
|27/07/2012||2012/476||Reply of ESMA to the European Commission’s Green Paper on Shadow Banking||MiFID - Investor Protection||Letter||PDF
|09/01/2013||2012/878||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Letter||PDF
|10/01/2014||2013/1932||Deadlines for the submission of draft technical standards||Prospectus, Corporate Disclosure||Letter||PDF
|28/01/2014||2013/1941||Letter to Jonathan Faull (EC) regarding draft technical standards||MiFID - Investor Protection, MiFID - Secondary Markets||Letter||PDF
|05/10/2015||2015/1498||Letter to European Commission re RTS on indirect clearing under EMIR and under MiFIR||MiFID - Secondary Markets, Post Trading||Letter||PDF
|17/11/2015||2015/1513||Letter SM to EC- implementation timeline MiFID MiFIR||MiFID - Investor Protection||Letter||PDF
|21/05/2015||2015/857||ESMA response to the European Commission consultation on the review of the Prospectus Directive||Prospectus, Corporate Disclosure||Letter||PDF
|30/09/2016||2016/1408||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection||Statement||PDF
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas. The appointments are for a period of two years and commence with immediate effect.
|29/01/2016||2016/163||Opinion on CRR ITS final||MiFID - Secondary Markets||Letter||PDF
|29/01/2016||2016/164||Letter J Hill- Opinion on Draft ITS CRR||MiFID - Secondary Markets||Letter||PDF
|21/03/2016||2016/402||Letter EU Comm Guersent- position limits||MiFID - Secondary Markets||Letter||PDF
|21/03/2016||2016/403||Letter EU Comm Guersent- Ancillary Activity||MiFID - Secondary Markets||Letter||PDF
|21/03/2016||2016/404||Letter EU Comm Guersent- Non-equity transparency||MiFID - Secondary Markets||Letter||PDF
|31/03/2016||2016/408||Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 EMIR||Trade Repositories||Decision||PDF
Decision to adopt a supervisory measure taking the form of a public notice and to impose a fine in accordance with Statement of Findings in accordance with Articles 64(5), 65, 67 and 73 of Regulation (EC) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories
Public notice regarding negligent breach by DTCC Derivatives Repository Ltd of its legal obligation to ensure immediate access for regulators to data reported under EMIR
DTCC Derivatives Repository Ltd (‘DDRL’) is a trade repository registered in the European Union and is part of the DTCC group which includes a number of companies providing post-trading services to the global financial services industry. DDRL was registered by ESMA as a trade repository under Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (‘EMIR’) on 7 November 2013. ESMA has responsibilities for the supervision and enforcement of provisions under EMIR concerning DDRL and other trade repositories registered in the EU.
In May 2014, ESMA’s supervisory team became aware of delays in providing regulators with access to data reported to DDRL under EMIR. Following further examination, the supervisory team formed the view that there were serious indications of the possible existence of facts liable to constitute one or more of the infringements listed in EMIR. The matter was accordingly referred to an independent investigation officer (the ‘IIO’). The IIO considered the evidence referred to him and conducted further investigations, before submitting his findings to ESMA’s Board of Supervisors (the ‘ESMA Board’).
Based on the findings of the IIO and the evidence put before it, the ESMA Board found on 23 March 2016 that an examination of the facts showed that DDRL had committed the following infringement under EMIR and had done so negligently. DDRL committed an infringement of EMIR by not allowing regulators and supervisors direct and immediate access to the details of derivatives contracts they need to fulfil their responsibilities and mandates.