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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/12/2014 2014/1569 Technical Advice to the Commission on MiFID II and MiFIR MiFID - Investor Protection, MiFID - Secondary Markets Technical Advice PDF
2.8 MB		 Reasons for publication The European Securities and Markets Authority (ESMA) received a formal request (mandate) from the European Commission (Commission) on 23 April 2014 to provide technical advice to assist the Commission on the possible content of the delegated acts required by several provisions of Markets in Financial Instruments Directive (MiFID II) and the Markets in Financial Instruments Regulation (MiFIR). The mandate focuses on technical issues which follow from MiFID II and MiFIR and is available on the European Commission website (here). ESMA was required to provide technical advice by no later than six months after the entry into force of MiFID II and MiFIR (2 July 2014). Contents This final report follows the same structure as the Consultation Paper  (CP) published by ESMA on 22 May 2014 which is: (1) Introduction, (2) Investor protection, (3) Transparency, (4) Data publication, (5) Micro-structural issues, (6) Requirements applying on and to trading venues, (7) Commodity derivatives and (8) Portfolio compression. This paper also contains summaries of responses to the CP received by ESMA. The rationale of those items covered already in the CP for which no relevant changes have been introduced, is not developed again in this Final Report. ESMA recommends, therefore, to read this report together with the CP published on 22 May 2014 to have a complete vision of the rationale for ESMA’s technical advice. Next steps Delegated acts should be adopted by the Commission so that they enter into application by 30 months following the entry into force of the Directive and Regulation, taking into account the right of the European Parliament and Council to object to a delegated act within 3 months (which can be extended by a further 3 months).
26/02/2015 2015/496 MiFID II – Switching on the light without turning-off the tap- Verena Ross, Executive Director, ESMA MiFID - Secondary Markets, Speeches Speech PDF
222.55 KB		 Verena Ross, Executive Director of ESMA, delivered the keynote speech at the ABA/Law Society Capital Markets Conference 2015 in London on MiFID II which focused on transparency and liquidity issues.
24/03/2015 2015/620 MIFID/MIFIR- CSD hearing before ECON MiFID - Secondary Markets, Speeches Speech PDF
117.88 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 Trade Repositories 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.
26/05/2016 2016/734 Key note speech for the City week 2016 – Verena Ross, 9 May, London Speeches, MiFID - Secondary Markets Speech PDF
180.15 KB
13/06/2016 2016/945 Speech for the DSGV Kapitalmarktsymposium- Verena Ross, 10 June 2016, Berlin MiFID - Secondary Markets Speech PDF
275.69 KB
30/09/2016 2016/1421 MiFID II: Status Quo und weitere Entwicklung MiFID - Secondary Markets, Speeches Speech PDF
209.64 KB
22/09/2017 ESMA71-319-53 Verena Ross Keynote AFME Compliance and Legal Conference MiFID - Secondary Markets, Speeches Speech PDF
236.94 KB
20/11/2017 ESMA71-99-662 GFMA-ASIFMA LEI WEBINAR 19.10.17 MiFID - Secondary Markets Speech PDF
688.5 KB
30/11/2017 ESMA71-319-65 Keynote Address at ASIFMA Annual Conference 2017 Hong Kong- Verena Ross MiFID - Secondary Markets, Post Trading, Speeches Speech PDF
208.99 KB
21/06/2018 ESMA70-156-427 MiFID II Implementation – Achievements and Current Priorities, Steven Maijoor, FESE convention 2018, Vienna, 21 June MiFID - Secondary Markets, Speeches Speech PDF
275.23 KB
27/06/2018 ESMA70-145-924 Speech by ESMA Executive Director Verena Ross on LEI Market Integrity, MiFID - Secondary Markets Speech PDF
255.18 KB
29/08/2018 ESMA33-128-523 Steven Maijoor Securitisation ECON Scrutiny Opening Statement Securitisation, Speeches Speech PDF
228.13 KB
27/09/2018 ESMA71-319-83 Financing Growth in the EU- speech by Verena Ross at the EBS Corporate Finance, Speeches Speech PDF
181.48 KB
11/10/2018 ESMA70-155-5775 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
219.76 KB
11/10/2018 ESMA70-155-5905 Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits Board of Supervisors, MiFID - Secondary Markets Decision PDF
222.28 KB
13/11/2018 ESMA33-128-505 Final Technical Advice Securitisation Repositories Fees Securitisation Technical Advice PDF
570.74 KB
13/02/2019 ESMA71-319-91 Brexit – the regulatory challenges Brexit, Fund Management, MiFID - Secondary Markets, Post Trading, Speeches, Supervisory convergence Speech PDF
175.3 KB

Steven Maijoor keynote at the European Financial Forum in Dublin
04/06/2019 ESMA71-319-120 FESE Dinner Address Brexit, International cooperation, MiFID - Secondary Markets, Post Trading, Speeches Speech PDF
117.98 KB
12/06/2019 ESMA33-128-713 Keynote by ESMA Executive Director Verena Ross at the Global ABS Conference 2019 – Barcelona Securitisation Speech PDF
120.24 KB

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