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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|27/07/2012||2012/476||Reply of ESMA to the European Commission’s Green Paper on Shadow Banking||MiFID - Investor Protection||Letter||PDF
|28/01/2014||2013/1941||Letter to Jonathan Faull (EC) regarding draft technical standards||MiFID - Investor Protection, MiFID - Secondary Markets||Letter||PDF
|17/11/2015||2015/1513||Letter SM to EC- implementation timeline MiFID MiFIR||MiFID - Investor Protection||Letter||PDF
|05/01/2017||2016/1621||2016-1621 ESMA letter to EC on postponement of ESEF RTS||Corporate Disclosure, European Single Electronic Format, Transparency||Letter||PDF
|09/02/2016||2016/235||Comment letter on Taxonomy due process||Corporate Disclosure, European Single Electronic Format, Transparency||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.
|26/04/2016||2016/648||ESMA response to the Commission Green Paper on retail financial services||MiFID - Investor Protection||Letter||PDF
|27/01/2016||ESA/2016/07||The cross-selling of financial products – ESA request to the European Commission||Joint Committee, MiFID - Investor Protection||Letter||PDF
|24/04/2018||ESMA33-128-485||Letter to OG- Delivery of ESMA’s technical standards on disclosure under the Securitisation Regulation||Securitisation||Letter||PDF
|08/01/2019||ESMA33-128-619||Letter to EC on regulatory cooperation under the Securitisation Regulation||Securitisation||Letter||PDF
|01/10/2018||ESMA35-36-1442||IPISC UK withdrawal from the EU Letter||MiFID - Investor Protection||Letter||PDF
|31/10/2018||ESMA35-43-1397||CFD Renewal Decision Notice||MiFID - Investor Protection||Decision||PDF
|21/12/2018||ESMA35-43-1533||ESMA35-43-1533 Binary Options Renewal Decision Notice||MiFID - Investor Protection||Decision||PDF
|31/01/2019||ESMA35-43-1562||CFD Renewal Decision (2) Notice||MiFID - Investor Protection||Decision||PDF
|05/09/2018||ESMA70-151-1651 Annex 1||Letter from European Commission on SFTR draft RTS||Securities Financing Transactions||Letter||PDF
|05/09/2018||ESMA70-151-1719||Letter to VP Dombrovskis on opinion on SFTR||Securities Financing Transactions||Letter||PDF
|01/10/2018||ESMA70-156-236||Letter to the Commission on MiFID II third country regime||MiFID - Investor Protection||Letter||PDF
|18/12/2018||fisma.01/РР/ rv/ (2018) 6771757||European Commission letter to ESMA on draft RTS and ITS securitisation disclosures||Securitisation||Letter||PDF
On Friday 14 December 2018, the European Securities and Markets Authority (ESMA) received a letter from the European Commission regarding the draft regulatory and implementing technical standards on securitisation disclosures submitted by ESMA on 22 August 2018.
The letter states that the Commission intends to endorse those draft regulatory and implementing technical standards only once certain amendments are introduced.