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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/07/2019 esma41-139-1224 Amended_decision_nordea Decision PDF
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15/07/2019 esma41-139-1230 Amended_decision_swedbank Decision PDF
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15/07/2019 esma41-139-1229 Amended_decision_seb Decision PDF
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15/07/2019 esma41-139-1231 Amended decision Handelsbanken Decision PDF
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28/03/2019 ESMA-41-356-11 Decision Fitch UK Decision PDF
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28/03/2019 ESMA41-356-22 Public notice Fitch Group Decision PDF
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31/01/2019 ESMA35-43-1562 CFD Renewal Decision (2) Notice Decision PDF
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21/12/2018 ESMA35-43-1533 ESMA35-43-1533 Binary Options Renewal Decision Notice Decision PDF
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31/10/2018 ESMA35-43-1397 CFD Renewal Decision Notice Decision PDF
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11/10/2018 ESMA70-155-5905 Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits , Decision PDF
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11/10/2018 ESMA70-155-5775 Delegation third country TV post trade transparency , Decision PDF
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23/07/2018 ESMA41-137-1145 BoS decision-CRA 2-2017- Danske Decision PDF
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23/07/2018 ESMA41-137-1147 BoS decision-CRA 2-2017- Svenska Handelsbanken AB Decision PDF
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23/07/2018 ESMA41-137-1150 BoS decision-CRA 2-2017- Nordea Decision PDF
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23/07/2018 ESMA41-137-1152 BoS decision-CRA 2-2017- Swedbank Decision PDF
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23/07/2018 ESMA41-137-1153 BoS decision- CRA 2-2017- SEB Decision PDF
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20/07/2017 BoA 2017 01 FinancialCraft Analytics Sp. z o.o. vs ESMA BoA Decision , Decision PDF
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01/06/2017 ESMA41-137-1005 Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited , Decision PDF
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21/07/2016 2016/1131 BoS Decision on Fitch Ratings Limited 21 July 2016 , Decision PDF
108.21 KB
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 Decision PDF
62.47 KB

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.