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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/03/2021 ESMA74-362-853 Validation table for reporting under the revised technical standards Reference XLSX
55.41 KB
13/04/2021 ESMA70-145-1397 TRs IC_templates , Reference XLSX
30.4 KB
15/06/2018 2016-1521 Annex 1 Transaction reporting validation rules Reference XLSX
536.07 KB
28/09/2015 2015/1468 Trading venue briefing , Reference PDF
304.63 KB
01/04/2014 2014/336 Trade Repository Supervision Work Plan 2014 Reference PDF
111.34 KB

The European Securities and Markets Authority (ESMA) is publishing a summary of its 2014 supervisory work plan in relation to trade repositories (TRs) with the aim of enhancing the transparency of its actions regarding TRs in the European Union. TRs centrally collect and maintain the records of derivative trades and play a central role in enhancing the transparency of derivative markets and reducing risks to financial stability. In November 2013, ESMA registered six TRs. The obligation for counterparties to report their derivative trades to registered TRs began on 12 February 2014. Under Titles VI and VII of Regulation EU 648/2012 (EMIR), the direct supervision of TRs has been entrusted to ESMA, who has started to supervise the six registered TRs. Supervision of TRs by ESMA is crucial to ensuring that TRs comply on an on-going basis with all EMIR requirements, thereby enabling regulators to access data and details of derivative contracts in order for them to fulfil their respective mandates.

04/04/2016 2016/227 ToR SMSC Reference PDF
143.74 KB
04/04/2016 2016/228 ToR PTSC Reference PDF
147.27 KB
04/04/2016 2016/221 ToR MDSC Reference
11/02/2016 2016/210 ToR CDTF Reference PDF
134.83 KB
15/09/2021 ETCM Third-country markets considered as equivalent to a regulated market under EMIR Reference PDF
64.92 KB
25/09/2000 00-064c The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission Final Report PDF
84.28 KB
Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org
19/12/2017 ESMA70-156-185 Template for reporting circuit breakers parameters to ESMA Reference XLSX
41.46 KB
03/04/2019 ESMA65-8-6561 Technical Guidance for Settlement Internalisers – Report Validation Rules (CSDR Article 9) Reference PDF
1.61 MB
02/10/2013 2013/1374 Technical advice on third country regulatory equivalence under EMIR – Switzerland (Supplement) Final Report PDF
117.72 KB
02/10/2013 2013/1370 Technical advice on third country regulatory equivalence under EMIR – India Final Report PDF
2.44 MB
02/10/2013 2013/1375 Technical advice on third country regulatory equivalence under EMIR – Canada Final Report PDF
1.39 MB
18/05/2018 ESMA70-154-555 SMSC Terms of Reference Reference PDF
209.92 KB
06/06/2016 MoU for USA Signed MoU for TC-CCPs for USA Reference PDF
162.79 KB
07/01/2016 MoU for Switzerland Signed MoU for Switzerland Reference PDF
169.92 KB
22/03/2016 MoU for South Korea Signed MoU for South Korea Reference PDF
151.46 KB

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