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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|17/12/2020||106/20/COL||ESA Third Renewal Decision under Art. 28(1) SSR||COVID-19, Market Integrity, Short Selling||Decision||PDF
|22/06/2012||2012/382||MiFID Q&A in the area of investor protection and intermediaries||MiFID - Investor Protection||Q&A||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.
|11/04/2019||ESMA31-62-780||Q&A on Prospectus Related Topics||Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence||Q&A||PDF
|09/11/2020||ESMA31-67-127||Question and answers on Transparency Directive (TD)||Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency||Q&A||PDF
|17/04/2020||ESMA32-51-370||Q&A on ESMA Guidelines on Alternative Performance Measures||Corporate Disclosure, Corporate Information||Q&A||PDF
|09/11/2018||ESMA35-36-1262||Technical Q&As on product intervention measures on CFDs and binary options||MiFID - Investor Protection||Q&A||PDF
|31/03/2017||ESMA35-36-794||Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID||MiFID - Investor Protection||Q&A||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
|28/05/2021||ESMA35-43-349||Q&As on MiFID II and MiFIR investor protection topics||MiFID - Investor Protection, Supervisory convergence||Q&A||PDF
|12/07/2021||ESMA41-356-187||Decision- DTCC Derivatives Repository||Board of Supervisors, Trade Repositories||Decision||PDF
|23/09/2021||ESMA41-356-233||Decision- UnaVista Limited||Trade Repositories||Decision||PDF
|06/08/2021||ESMA70-145-111||Q&A on the Market Abuse Regulation||Market Abuse, Market Integrity||Q&A||PDF
The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework
The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.
|29/07/2021||ESMA70-145-114||Q&A on the Benchmarks Regulation (BMR)||Benchmarks, Supervisory convergence||Q&A||PDF
|11/06/2020||ESMA70-155-10189||ESMA Decision- renewal Article 28 SSR reporting threshold||COVID-19, Market Integrity, Short Selling||Decision||PDF
|17/09/2020||ESMA70-155-11072||ESMA Decision- renewal Article 28 SSR reporting threshold- September 2020||COVID-19, Market Integrity, Short Selling||Decision||PDF
|17/12/2020||ESMA70 -155-11608||Decision renewal art. 28 SSR reporting threshold- December 2020||COVID-19, Market Integrity, Short Selling||Decision||PDF
|16/03/2020||ESMA70-155-9546||ESMA decision on thresholds for reporting net short positions||COVID-19, Market Integrity, Short Selling||Decision||PDF