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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
03/10/2018 ESMA71-99-1046 WP 2019 Press Release , , Press Release PDF
282.94 KB
24/01/2014 2013/1965 Technical Advice to the Commission on procedural rules to impose fines and periodic penalty payments to Trade Repositories Technical Advice PDF
385.87 KB

Reasons for publication On 29 of April 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating procedural rules to impose fines and periodic penalty payments to trade repositories (TRs) by delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the procedural rules to impose fines and periodic penalty payments to TRs. Respondents to the consultation were encouraged to provide the relevant information in support of their arguments or proposals. ESMA published the consultation on 18 October 2013. The market participants could provide their comments until 15 November 2013. In total ESMA received two responses to the consultation. The respondents have required confidential treatment for their input. ESMA would like to thank respondents for providing input. Contents This document sets out a summary of the responses received by ESMA regarding the procedural rules to impose fines and periodic penalty payments to TRs and includes ESMA’s final technical advice to the Commission on the future Regulation on the procedural rules to impose fines and periodic penalty payments to TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered them carefully. Next steps ESMA will follow-up on this work with the Commission towards the adoption of the Commission delegated regulation on procedural rules to impose fines and periodic penalty payments to TRs.

03/09/2013 2013/1157 Technical advice on third country regulatory equivalence under EMIR – US Technical Advice PDF
5.06 MB
03/09/2013 2013/1162 Technical advice on third country regulatory equivalence under EMIR – Switzerland Technical Advice PDF
3.65 MB
03/09/2013 2013/1161 Technical advice on third country regulatory equivalence under EMIR – Singapore Technical Advice PDF
3.55 MB
03/09/2013 2013/1158 Technical advice on third country regulatory equivalence under EMIR – Japan Technical Advice PDF
3.76 MB
03/09/2013 2013/1160 Technical advice on third country regulatory equivalence under EMIR – Hong Kong Technical Advice PDF
3.57 MB
03/09/2013 2013/1159 Technical advice on third country regulatory equivalence under EMIR – Australia Technical Advice PDF
3.82 MB
11/11/2019 ESMA70-151-2649 Technical advice on comparable compliance Technical Advice PDF
790.06 KB
18/02/2016 2015/SMSG/036 SMSG Advice on ESEF , SMSG Advice PDF
109.63 KB
03/11/2021 ESMA71-99-1749 Press_Release_New Chair_Ross November FINAL , , , , Press Release PDF
81.42 KB
26/11/2020 ESMA71-99-1442 Press_Release_ESMA Chair Candidates Shortlist , , Press Release PDF
109.44 KB
24/03/2022 ESMA71-99-1913 Press_Release_Enforcement REGIS TR , , Press Release PDF
121.76 KB
31/03/2015 2015/662 Press release: ESMA sees improved transparency of issuers financial statements – more information needed on forbearance practices and impairment tests , , Press Release PDF
140.76 KB
25/03/2019 ESMA71-99-1133 Press release: ESMA registers UnaVista TRADEcho B.V. as trade repository , Press Release PDF
76.22 KB
12/12/2019 ESMA71-99-1263 Press release: ESMA calls for strengthened supervision on suspicious transaction reporting , Press Release PDF
100.61 KB
11/11/2019 ESMA71-99-1245 Press release: ESMA advises Commission on third-country CCPs , Press Release PDF
124.3 KB
11/05/2005 05-331 Press release- Facilitating the implementation of the Market Abuse Directive , Press Release PDF
72.91 KB
29/10/2021 ESMA71-99-1751 Press Release- European enforcers target COVID-19 and climate-related disclosures , , , Press Release PDF
97.63 KB
21/10/2011 2011/354 Press release- European enforcers see good level of IFRS application in 2010 , Press Release PDF
31.97 KB

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