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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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20/04/2012 | 2012/236 | ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS | Short Selling, Market Integrity | Technical Advice | PDF 509.39 KB |
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03/09/2013 | 2013/1157 | Technical advice on third country regulatory equivalence under EMIR – US | Post Trading | Technical Advice | PDF 5.06 MB |
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03/09/2013 | 2013/1158 | Technical advice on third country regulatory equivalence under EMIR – Japan | Post Trading | Technical Advice | PDF 3.76 MB |
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03/09/2013 | 2013/1159 | Technical advice on third country regulatory equivalence under EMIR – Australia | Post Trading | Technical Advice | PDF 3.82 MB |
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03/09/2013 | 2013/1160 | Technical advice on third country regulatory equivalence under EMIR – Hong Kong | Post Trading | Technical Advice | PDF 3.57 MB |
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03/09/2013 | 2013/1161 | Technical advice on third country regulatory equivalence under EMIR – Singapore | Post Trading | Technical Advice | PDF 3.55 MB |
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03/09/2013 | 2013/1162 | Technical advice on third country regulatory equivalence under EMIR – Switzerland | Post Trading | Technical Advice | PDF 3.65 MB |
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02/10/2013 | 2013/1369 | ESMA Technical advice on equivalence of Hong Kong for OTC and TR (Supplement) | Post Trading | Technical Advice | PDF 124.15 KB |
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02/10/2013 | 2013/1371 | ESMA Technical advice on equivalence of South Korea for CCPs | Post Trading | Technical Advice | PDF 1.83 MB |
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02/10/2013 | 2013/1372 | ESMA Technical advice on equivalence of Singapore for TRs (Supplement) | Post Trading | Technical Advice | PDF 500.37 KB |
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24/01/2014 | 2013/1965 | Technical Advice to the Commission on procedural rules to impose fines and periodic penalty payments to Trade Repositories | Post Trading | 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. |
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04/04/2013 | 2013/302 | ESMA’s Technical Advice to the Commission on Fees for Trade Repositories | Post Trading | Technical Advice | PDF 1.08 MB |
On 14 January 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) by a delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the proposed fee structures for registration, supervision and recognition of TRs. Respondents to this consultation were encouraged to provide the relevant data to support their arguments or proposals.Given the time period established for providing this advice, ESMA was compelled to require responses to the consultation within a short timeframe. In total, ESMA received 8 responses to the consultation. Non-confidential responses can be found on ESMA’s website. ESMA would like to thank respondents for providing input given the short period ESMA was able to consult for. This document sets out a summary of the responses received by ESMA regarding the fee structure for registration, supervision and recognition of TRs in the EU and includes ESMA’s final technical advice to the Commission on the future Regulation on fees for 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 how best to adjust the original proposals. Next steps ESMA will follow-up on this work with the Commission as they work on the adoption of the Commission delegated regulation on fees for TRs. |
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30/01/2014 | 2014/123 | ESMA Technical advice on equivalence of Japan for CCP II- Commodities CCPs | Post Trading | Technical Advice | PDF 3.33 MB |
ESMA delivers second set of advice on EMIR equivalence Following its technical advice published on 9 September 2013, the European Securities and Market Authority (ESMA) has published a supplement to its advice to the European Commission on the equivalence of the regulatory regime for central counterparties (CCPs) of Japan with the European Markets Infrastructure Regulation (EMIR). This supplement to the September 2013 Final report sets out ESMA’s advice to the European Commission is in respect of the equivalence between the Japanese regulatory regime for commodity CCPs and the regulatory regime for CCPs under EMIR. ESMA proposes conditional equivalence As for ESMA’s advice to the Commission in respect of Japan for CCPs which clear transactions relating to securities, currencies, interest rates, credit, weather, GDP and other indices, ESMA considers that the Japanese regulatory regime for commodity CCPs contains legal provisions and involves supervision and enforcement similar to that of EMIR. The Commission is expected to use ESMA’s technical advice to prepare possible equivalence decisions. Where it adopts such a decision, certain provisions of EMIR may be disapplied in favour of equivalent third-country rules. In particular, ESMA may recognise within the EU a CCP which is authorised outside the EU. The different pieces of advice are available on ESMA’s website. |
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05/08/2015 | 2015/1219 | Final Report- Technical Advice under the CSD Regulation | Post Trading | Technical Advice | PDF 751.38 KB |
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13/07/2016 | 2016/1130 | Final Report on the Market Abuse Regulation Guidelines | Market Abuse, Market Integrity | Report | PDF 852.59 KB |
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04/10/2016 | 2016/1415 | ESMA reporton on securities financing transactions and leverage in the EU | Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors | Report | PDF 1.94 MB |
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22/12/2016 | 2016/1683 | Peer Review on CCPs' Margin and Collateral requirements | Post Trading | Report | PDF 543.98 KB |
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01/02/2016 | 2016/174 | Final Report on CSDR RTS on settlement discipline | Post Trading | Report | PDF 1.59 MB |
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01/02/2016 | 2016/174/Annex IV | Impact assessment on CSDR RTS on settlement discipline | Post Trading | Report | PDF 1.39 MB |
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04/05/2020 | ESAs 2020 09 | EMIR RTS on various amendments to the bilateral margin requirements in view of the international framework | COVID-19, Joint Committee, Post Trading | Report | PDF 338.72 KB |