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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
19/10/2012 2012/680 Links to national websites for the purpose of the notification of net short positions Reference PDF
84.12 KB
30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Q&A PDF
873.32 KB
01/04/2014 2014/336 Trade Repository Supervision Work Plan 2014 Reference PDF
111.34 KB

The European Securities and Markets Authority (ESMA) is publishing a summary of its 2014 supervisory work plan in relation to trade repositories (TRs) with the aim of enhancing the transparency of its actions regarding TRs in the European Union. TRs centrally collect and maintain the records of derivative trades and play a central role in enhancing the transparency of derivative markets and reducing risks to financial stability. In November 2013, ESMA registered six TRs. The obligation for counterparties to report their derivative trades to registered TRs began on 12 February 2014. Under Titles VI and VII of Regulation EU 648/2012 (EMIR), the direct supervision of TRs has been entrusted to ESMA, who has started to supervise the six registered TRs. Supervision of TRs by ESMA is crucial to ensuring that TRs comply on an on-going basis with all EMIR requirements, thereby enabling regulators to access data and details of derivative contracts in order for them to fulfil their respective mandates.

27/08/2015 2015/1295 RP Response form for the Discussion Paper on Review of Article 26 of RTS 153/2013 Reference DOCX
781.64 KB
16/02/2015 2015/280 ESMA supervision of Credit Rating Agencies and Trade Repositories , , Annual Report PDF
891.95 KB
This document reports on the direct supervisory activities carried out by ESMA during 2014 regarding credit rating agencies (CRAs) and trade repositories (TRs) within the European Union (EU). It sets out ESMAs key areas of action during 2014 and outlines ESMA’s main priorities for 2015.
15/06/2018 2016-1521 Annex 1 Transaction reporting validation rules Reference XLSX
536.07 KB
29/09/2016 2016/1406 reply form Reply form to the Consultation paper on Benchmarks Reference DOCX
757.37 KB
30/09/2016 2016/1409 SFTR Tables , Reference XLSX
45.84 KB
30/09/2016 2016/1414 Methodological Framework- Model Written Arrangements for Benchmark Colleges Reference PDF
272.57 KB

Article 46 of the Regulation (EU) No 2016/1011 of the European Parliament and of the Council of 8 June 2016 on indices used as benchmarks in financial instruments and financial contracts or to measure the performance of investment funds (Regulation) provides that the competent authority of an administrator of a critical benchmark that is referred to in points (a) and (c) of Article 20(1) of the Regulation shall establish a college.

ESMA will be a member of every college and according to Article 46(7) of the Regulation may give advice concerning the written arrangements. To promote the convergent operation of benchmark colleges, ESMA has developed model written arrangements that may be used by administrators of critical benchmarks according to Article 46(6) of the Regulation.

15/12/2016 2016/1661 RF Reply Form to CP- Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR Reference DOCX
758.01 KB
19/12/2016 2016/1672 reply form Reply Form to Technical Advice on fees for TRs under SFTR and on certain amendments of for fees under EMIR Reference DOCX
756.89 KB
01/02/2016 2016/200 MiFID registers- information about web service , Reference PDF
311.04 KB

This document sets out the web service for the following registers:

Shares admitted to trading on regulation markets

Exempted shares

Systematic internalisers

Regulated Markets

Multilateral trading facilities

Central counterparties

04/04/2016 2016/228 ToR PTSC Reference PDF
147.27 KB
11/03/2016 2016/356 Reply form Reply form DP SFTR Reference DOCX
794.56 KB
29/04/2016 2016/665 Q&A on ESMA’s EU-wide stress tests for CCPs Q&A PDF
269.98 KB
03/06/2016 2016/723 RF Reply form for the Consultation Paper on ESMA technical advice on Benchmarks Regulation , Reference DOCX
784.51 KB
04/03/2020 BOA/2012/005 Form of notice of appeal Reference PDF
125.97 KB

This form should be used for all appeals to the Board of Appeal

04/03/2020 BoA/2019/04 Rules of Procedure for the Board of Appeal Reference PDF
409.88 KB
04/03/2020 BoA/2019/05 Guidelines on appeal proceedings Reference PDF
121.64 KB
19/12/2014 EC 18/12/2014 annex Letter from European Commission- Annex with Amended draft RTS on clearing obligation for IRS Reference PDF
74.34 KB

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