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|18/12/2018||fisma.01/РР/ rv/ (2018) 6771757||European Commission letter to ESMA on draft RTS and ITS securitisation disclosures||Securitisation||Letter||PDF
On Friday 14 December 2018, the European Securities and Markets Authority (ESMA) received a letter from the European Commission regarding the draft regulatory and implementing technical standards on securitisation disclosures submitted by ESMA on 22 August 2018.
The letter states that the Commission intends to endorse those draft regulatory and implementing technical standards only once certain amendments are introduced.
|17/10/2019||ESMA74-362-111||Decision on delegation to the Chair the adoption of changes to technical instructions on IT and data matters||Board of Supervisors||Decision||PDF
|11/10/2018||ESMA70-155-5905||Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|11/10/2018||ESMA70-155-5775||Delegation third country TV post trade transparency||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|06/11/2020||ESMA70-155-11210||Delegation third country TV post trade transparency||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|01/06/2017||ESMA41-137-1005||Decision of the Board of Supervisors to adopt a supervisory measure and impose fines with respect to infringements by Moody’s Deutschland GmbH and Moody’s Investors Service Limited||Board of Supervisors, Credit Rating Agencies||Decision||PDF
|08/01/2019||ESMA33-128-619||Letter to EC on regulatory cooperation under the Securitisation Regulation||Securitisation||Letter||PDF
|24/04/2018||ESMA33-128-485||Letter to OG- Delivery of ESMA’s technical standards on disclosure under the Securitisation Regulation||Securitisation||Letter||PDF
|11/02/2020||ESMA22-328-356||Decision of the Board of Supervisors- Election of Management Board Members||Board of Supervisors, Management Board||Decision||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.
|21/05/2015||2015/857||ESMA response to the European Commission consultation on the review of the Prospectus Directive||Prospectus, Corporate Disclosure||Letter||PDF
|23/02/2015||2015/168||Letter to EU Institutions re ESMA’s 2015 Work Programme||Corporate Information, Management Board, Board of Supervisors||Letter||PDF
|Dear Mr Gualtieri, Ms Ribkina and Commissioner Hill, On 30 September 2014 we sent you ESMA’s Work Programme for 2015, which was based on the budget request that had been approved by ESMA’s Board of Supervisors: a budget of €38,639,000 and 147 Establishment Plan posts. The EU budget had not been voted at the time. Following the adoption of the EU budget, ESMA’s 2015 expenditure budget is €33,601,402 (plus an additional €3,100,000 from assigned revenues for tasks delegated from National Competent Authorities) with an Establishment Plan of 137 posts. ESMA’s Board of Supervisors has approved a revised work programme to account for the difference of €5m and 10 Establishment Plan posts; representing a 15% reduction compared to the planned ESMA budget and 7% of its Establishment Plan. ESMA will therefore lack sufficient resources to execute all the tasks that were initially planned for 2015. The Work Programme explains the areas where reprioritisation had to take place, including the risk that ESMA will not fully meet its legal obligations, for instance due to the delay of delivery compared to legally set timetables. A summary of the deprioritised tasks is annexed to the Work Programme and reproduced in the table below. 2014/1200rev ESMA Work Programme|
|10/01/2014||2013/1932||Deadlines for the submission of draft technical standards||Prospectus, Corporate Disclosure||Letter||PDF
|09/01/2013||2012/878||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Letter||PDF
|01/03/2012||2012/138||ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU||Prospectus, Corporate Disclosure||Letter||PDF
|06/01/2012||2012/10||Interpretation of the Mineral Companies Recommendations for cement companies||Prospectus, Corporate Disclosure||Letter||PDF
|Open letter regarding Interpretation of the Mineral Companies Recommendations for cement companies|
|19/12/2011||2011/BS/229||Decision of the European Securities and Markets Authority establishing its Review Panel||Board of Supervisors, Corporate Information, Supervisory convergence||Decision||PDF
|This decision establishes the Review Panel of ESMA and sets out its mandate.|
|17/05/2011||2011/BS/123||Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group||Board of Supervisors, Securities and Markets Stakeholder Group||Decision||PDF