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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|08/03/2021||ESMA70-151-2537||Compliance table Guidelines Conflict of interest||Guidelines and Technical standards, Post Trading||Compliance table||PDF
|08/03/2021||ESMA70-151-2536||compliance table Guidelines APC Measures||Guidelines and Technical standards, Trade Repositories||Compliance table||PDF
|12/10/2020||ESMA64-87-216||Management Board Decision- Condition of employments of Contract Agents||Careers||Decision||PDF
|24/06/2020||ESMA64-87-193||Management Board decision- Implementing rules on the middle management staff||Careers, Management Board||Decision||PDF
|23/10/2018||ESMA70-151-727||Compliance table for the Guidelines on CSD Access to the trading feeds of CCPs and trading venues (ESMA70-151-298)||Post Trading||Compliance table||PDF
|23/10/2018||ESMA70-151-732||Compliance table for the Guidelines on participant default rules and procedures under Regulation (EU) No 909/2014 (ESMA70-151-294)||Post Trading||Compliance table||PDF
|23/10/2018||ESMA70-151-1417||Compliance table for ESMA's Guidelines on the cooperation between authorities under Articles 17 and 23 of CSDR (ESMA70-151-435)||Post Trading||Compliance table||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.
|16/02/2016||ESMA70-151-3419||Comply or explain table for G&R on PFMIs||Guidelines and Technical standards, Post Trading||Compliance table||PDF
|16/02/2016||ESMA70-151-3418||Comply or explain table for G&R on IO arrangements||Guidelines and Technical standards, Post Trading||Compliance table||PDF
|16/02/2016||ESMA70-151-3417||Comply or explain table for G&R on CCP college||Guidelines and Technical standards, Post Trading||Compliance table||PDF