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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|28/09/2015||2015/1457 - Annex II||Annex II- CSDR TS on CSD Requirements and Internalised Settlement||Post Trading||Technical Standards||PDF
|28/09/2015||2015/1457 Annex III||Annex III- CSDR TS on CSD Requirements and Internalised Settlement||Post Trading||Technical Standards||PDF
|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.|
|31/05/2011||2011/MB/69||Decision of the Management Board- Access to documents||Management Board, Corporate Information||Decision||PDF
|10/03/2011||ESMA41-140-155||Decision of the Management Board- Code of good administrative behaviour||Corporate Information, Management Board||Decision||PDF
|10/03/2011||2011/MB/3||Decision of the Management Board- Internal language arrangements||Management Board, Corporate Information||Decision||PDF
|10/03/2011||2011/MB/4||Decision of the Management Board- Professional secrecy||Management Board, Corporate Information||Decision||PDF
|23/03/2020||ESMA22-328-275||Decision of the Management Board- Rules of Procedure||Corporate Information, 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.
|12/07/2021||ESMA41-356-187||Decision- DTCC Derivatives Repository||Board of Supervisors, Trade Repositories||Decision||PDF
|23/09/2021||ESMA41-356-233||Decision- UnaVista Limited||Trade Repositories||Decision||PDF
|20/02/2014||2014/161||Draft implementing technical standards on notification- EuSEF||Fund Management||Technical Standards||PDF
|20/02/2014||2014/160||Draft implementing technical standards on notification- EuVECA||Fund Management||Technical Standards||PDF
|18/09/2015||2015/1409||Draft Implementing Technical Standards on penalties and measures under Directive 2009/65/EC (UCITS Directive)||Fund Management||Technical Standards||PDF
|29/09/2014||2014/1187||Draft Regulatory Technical Standards on major shareholdings and an indicative list of financial instruments subject to notification requirements under the revised Transparency Directive||Corporate Disclosure, Transparency||Technical Standards||PDF
|The European Securities and Markets Authority (ESMA) has published its draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings.|
|18/11/2013||2013/1657||Draft technical standards under EMIR on contracts with a direct, substantial and foreseeable effect within the Union and non-evasion||Post Trading||Technical Standards||PDF
The European Securities and Markets Authority (ESMA) has issued final draft regulatory technical standards (RTS) related to derivative transactions by non-European Union (EU) counterparties. The RTS implement provisions of the Regulation on OTC derivatives, central counterparties and trade repositories (EMIR).
|27/09/2012||2012/600||Draft technical standards under the Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC Derivatives, CCPs and Trade Repositories||Post Trading||Technical Standards||PDF
|25/09/2015||2015/1460||ESMA Final Report on DRAFT RTS on EEAP||Transparency||Technical Standards||PDF
|28/09/2015||2015/1457||Final Report CSDR TS on CSD Requirements and Internalised Settlement||Post Trading||Technical Standards||PDF
|02/10/2015||2015/1481||Final Report Draft technical standards on the Clearing Obligation – Index Credit Derivatives||Post Trading||Technical Standards||PDF