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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.

11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics , , , , , , Q&A PDF
957.9 KB
15/09/2020 ESMA22-106-2858 SMSG advice on ESG disclosure , SMSG Advice PDF
251.29 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) , , , , Q&A PDF
352.79 KB
13/11/2020 ESMA22-106-2993 SMSG advice on Sustainability Templates , SMSG Advice PDF
184.15 KB
17/05/2021 ESMA22-106-3375 SMSG advice to the ESA’s Joint Consultation Paper on Taxonomy-related sustainability disclosures , SMSG Advice PDF
227.92 KB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository , Decision PDF
1.13 MB
26/07/2021 SFDR EC Q&A EC Q&A on sustainability-related disclosures , Q&A PDF
601.99 KB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Decision PDF
996.23 KB
30/11/2021 SFDR EC Q&A CORRECTION EC Q&A on sustainability-related disclosures- correction , Q&A PDF
87.19 KB
28/02/2022 ESMA70-1861941480-52 Q&A on EMIR implementation , Q&A PDF
1.46 MB
24/03/2022 ESMA41-356-271 Decision of the Board of Supervisors to adopt supervisory measures and impose fines in respect of infringements committed by REGIS-TR, S.A , Decision PDF
1.17 MB
13/05/2022 JC 2022 26 SFDR queries forwarded to the Commission , Q&A PDF
132.33 KB
25/05/2022 Joint Committee SFDR Q&As Questions related to Regulation (EU) 2019/2088 on SFDR , Q&A PDF
794.9 KB
11/07/2022 ESMA22-106-4135 SMSG advice to ESMA on EFRAG Consultation on Sustainability Reporting standards , SMSG Advice PDF
178.31 KB
19/07/2022 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
405.28 KB
13/09/2022 JC 2022 47 List of SFDR queries requiring the interpretation of Union law , Q&A PDF
171.44 KB