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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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30/09/2016 | 2016/1409 | Draft RTS and ITS under SFTR and amendments to related EMIR RTS | Post Trading, Securities Financing Transactions | Consultation Paper | PDF 5.63 MB |
The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations Contents Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions. Next Steps ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017. |
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30/09/2016 | 2016/1411 | ESMA consults on future reporting rules for securities financing transactions | Post Trading, Press Releases, Securities Financing Transactions | Press Release | PDF 148.11 KB |
The European Securities and Markets Authority (ESMA) has issued today a consultation paper on draft technical standards implementing the Securities Financing Transaction Regulation (SFTR), which aims to increase the transparency of shadow banking activities. Securities financing transactions (SFTs) are transactions where securities are used to borrow cash (or other higher investment-grade securities), or vice versa – this includes repurchase transactions, securities lending and sell/buy-back transactions. |
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28/10/2016 | 2016/1529 | Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders | Guidelines and Technical standards, MiFID - Investor Protection | Consultation Paper | PDF 1.13 MB |
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05/02/2016 | 2016/247 | ESMA to focus on governance, strategy, data and fees in 2016 supervision | Credit Rating Agencies, Press Releases, Trade Repositories | Press Release | PDF 160.03 KB |
The European Securities and Markets Authority (ESMA) has today published its 2016 supervisory priorities for credit rating agencies (CRAs) and trade repositories (TRs), as well as its annual report summarising the key supervisory work and actions undertaken during 2015. 2016 Supervisory Priorities ESMA has seen a number of changes in the CRA and TR industries during 2015, with new applicants for registration in both sectors, and current authorised entities seeking to develop their businesses. This has included CRAs providing credit ratings on new asset classes or in new geographic areas, and TRs offering trade reporting services for other instrument types. ESMA identifies its supervisory priorities on the basis of risk assessment exercises conducted throughout the year. In 2015 these identified high levels of governance and strategy risk, and operational risk in the CRA industry and high levels of risk associated with TRs’ data and systems. Therefore, in 2016 ESMA will focus its supervisory activities on:
Steven Maijoor, ESMA Chair, said: “The credit rating and trade repository industries continue to evolve and develop. We are receiving new applications for registration and existing entities are seeking to develop their businesses by expanding into new areas. ESMA supports these developments where they contribute to the maintenance of stable and orderly financial markets. “For this reason, in 2016 ESMA will focus its work on the quality of the services being provided by supervised entities. This means we will concentrate on issues surrounding CRA governance, strategy and ratings quality, along with data quality and access to TRs’ data with a broad focus on the fee structures and information security in both industries.” 2015 Annual Supervisory Review – CRAs and TRs In 2015, following its risk-based approach, ESMA focused its supervisory efforts on CRAs’ governance, risk management and internal decision making and on CRAs’ business development processes. Some notable achievements were:
The key risks TR supervision focused on in 2015 related to the quality of TRs’ data, access to data held by TRs and the operation and performance of TRs’ systems. In 2015, ESMA continued working with TRs to implement the data quality action plan established in September 2014 including:
ESMA has also been monitoring National Competent Authorities’ (NCAs) access to TR data. It has entered into a number of Memoranda of Understanding (MoUs) to help third country regulatory authorities access TR data and is developing an IT system to allow NCAs to submit data queries through a centralised web portal. |
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31/03/2016 | 2016/468 | ESMA fines DTCC Derivatives Repository Limited €64,000 for data access failures | Press Releases, Trade Repositories | Press Release | PDF 166.05 KB |
ESMA fines DTCC Derivatives Repository Limited €64,000 for data access failures The European Securities and Markets Authority (ESMA) has fined the trade repository DTCC Derivatives Repository Limited (DDRL) €64,000, and issued a public notice, for negligently failing to put in place systems capable of providing regulators with direct and immediate access to derivatives trading data. This is a key requirement under the European Markets and Infrastructure Regulation (EMIR) in order to improve transparency and facilitate the monitoring of systemic risks in derivatives markets. This is the first time ESMA has taken enforcement action against a trade repository registered in the European Union (EU). DDRL is the largest EU registered trade repository. ESMA found that DDRL failed to provide direct and immediate access to derivatives data from 21 March 2014 to 15 December 2014, a period of about nine months in which access delays increased from two days to 62 days after reporting and affected 2.6 billion reports. This was due to its negligence in:
DDRL’s failures caused delays to regulators accessing data, revealed systemic weaknesses in its organisation particularly its procedures, management systems or internal controls and negatively impacted the quality of the data it maintained. |
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31/05/2016 | 2016/732 | Guidelines on participant default rules and procedures under CSDR | Guidelines and Technical standards, Post Trading | Consultation Paper | PDF 450.56 KB |
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures. Contents Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines. Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines. Next Steps ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016. |
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29/09/2017 | 70-145-105 | Draft Guidelines on non-significant benchmarks | Benchmarks, Guidelines and Technical standards | Consultation Paper | PDF 557.29 KB |
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27/05/2019 | ESMA70-151-1985 | Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR | Securities Financing Transactions | Consultation Paper | PDF 1.32 MB |
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02/02/2017 | ESMA71-844457584-339 | Press Release ESMA Supervision 2016 annual report and 2017 work programme | Credit Rating Agencies, Trade Repositories | Press Release | PDF 142.26 KB |
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01/02/2019 | ESMA71-99-1096 | ESMA and EU securities regulators MoUs with FCA | Board of Supervisors, Brexit, Credit Rating Agencies, Fund Management, Press Releases, Trade Repositories | Press Release | PDF 80.5 KB |
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15/07/2019 | ESMA71-99-1181 | Press release: ESMA fines Regis-TR S.A. €56,000 for data access failures | Press Releases, Trade Repositories | Press Release | PDF 115.68 KB |
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20/12/2019 | ESMA71-99-1256 | ESMA CRAs TRs thematic fees report | Press Releases, Supervisory convergence, Trade Repositories | Press Release | PDF 101.41 KB |
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16/12/2019 | ESMA71-99-1266 | Press release on joint GLs on cooperation and information exchange | Guidelines and Technical standards, Joint Committee, Press Releases | Press Release | PDF 206.03 KB |
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09/03/2020 | ESMA71-99-1287 | ESMA Supervision WP 2020 | Benchmarks, Credit Rating Agencies, Press Releases, Securities Financing Transactions, Securitisation, Trade Repositories | Press Release | PDF 130.42 KB |
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03/11/2020 | ESMA71-99-1420 | Fast Track Peer Review PR- Wirecard | Corporate Disclosure, Guidelines and Technical standards, Press Releases, Supervisory convergence | Press Release | PDF 137.39 KB |
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04/01/2021 | ESMA71-99-1498 | Brexit: ESMA withdraws the registrations of six UK-based credit rating agencies and four trade repositories | Brexit, Credit Rating Agencies, Press Releases, Trade Repositories | Press Release | PDF 94.63 KB |
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26/03/2021 | ESMA71-99-1624 | ESMA ADVISES ON FRAMEWORK FOR DATA REPORTING SERVICE PROVIDERS | Market data, Press Releases | Press Release | PDF 84.4 KB |
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15/04/2021 | ESMA71-99-1651 | ESMA highlights need for increased efforts on EMIR and SFTR data quality | Market data, Press Releases, Securities Financing Transactions, Supervisory convergence | Press Release | PDF 85.72 KB |
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12/07/2021 | ESMA71-99-1715 | Press Release- DTCC Derivatives Repository fined €408,000 for EMIR data breaches | Board of Supervisors, Press Releases, Trade Repositories | Press Release | PDF 128.95 KB |
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23/09/2021 | ESMA71-99-1734 | Press Release- ESMA fines UnaVista trade repository €238500 for EMIR data failures | Board of Supervisors, Press Releases, Trade Repositories | Press Release | PDF 125.85 KB |