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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
17/05/2011 2011/BS/123 Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group , Decision PDF
171.3 KB
28/01/2015 2014/SMSG/002 Decision- Rules of procedure of the Securities and Markets Stakeholder Group Decision PDF
131.88 KB
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 Decision PDF
62.47 KB

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.

03/02/2020 ESMA70-156-1757 Consultation Paper- MiFIR report on SI Consultation Paper PDF
825.33 KB
04/02/2020 ESMA70-156-2188 Consultation paper on Review Report Transparency Equity DVC TOS Consultation Paper PDF
4.75 MB
10/03/2020 ESMA70-156-2189 Consultation paper on Review Report on Transparency for Non-equity TOD Consultation Paper PDF
7.93 MB
27/03/2020 ESMA74-362-47 CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT , , Consultation Paper PDF
2.66 MB
09/07/2020 ESMA74-362-608 Guidelines on calculation of positions in SFTs by Trade Repositories , Consultation Paper PDF
799.81 KB
27/08/2020 ESMA22-106-2371 SMSG Rules of Procedure 2020 Decision PDF
166.57 KB
25/09/2020 ESMA70-156-2013 Consultation Paper on the functioning of Organised Trading Facilities , Consultation Paper PDF
673.72 KB
28/10/2020 ESMA70-155-11072 ESMA decision renewal of 16 September 2020 to lower the reporting thresholds of net short positions under Art.28 of the SSR Decision PDF
395.8 KB
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20/11/2020 ESMA74-362-932 CP on DRSP criteria for derogation , , Consultation Paper PDF
384.54 KB
20/11/2020 ESMA74-362-837 CP on DRSP fees , , Consultation Paper PDF
526.22 KB
18/12/2020 ESMA-70-156-2368 MiFID II Consultation Paper on Algorithmic Trading , Consultation Paper PDF
1.64 MB
24/03/2021 ESMA74-362-1864 CP Technical Advice on simplification TR fees under SFTR and EMIR , Consultation Paper PDF
494.16 KB
28/05/2021 ESMA74-362-1941 Consultation Paper on the Guidelines on transfer of data between Trade Repositories under EMIR and SFTR , , Consultation Paper PDF
658.69 KB
09/07/2021 ESMA70-156-4236 Consultation Paper on the review of RTS 1 and 2 Consultation Paper PDF
3.55 MB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository , Decision PDF
1.13 MB