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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Decision PDF
996.23 KB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository , Decision PDF
1.13 MB
12/10/2020 ESMA64-87-216 Management Board Decision- Condition of employments of Contract Agents Decision PDF
229.09 KB
24/06/2020 ESMA64-87-193 Management Board decision- Implementing rules on the middle management staff , Decision PDF
210.2 KB
29/04/2020 ESMA41-137-1300 ESMAR Article 9a(3) Opinion- BMR NCA Opinion PDF
126.5 KB
29/04/2020 ESMA41-137-1299 ESMAR Article 9a(2) Opinion- BMR EC Opinion PDF
130.45 KB
09/03/2020 ESMA80-199-332 ESMA Supervision- Annual Report 2019 and Work Programme 2020 , , , , Annual Report PDF
825.72 KB
22/06/2018 ESMA70-151-1149 Opinion on CCP Liquidity Risk Assessment Opinion PDF
238.72 KB
10/04/2017 ESMA70-708036281-18 Opinion on portfolio margining requirements under Article 27 of EMIR Delegated Regulation Opinion PDF
240.08 KB
05/04/2017 ESMA70-151-222 Opinion on EC porposal for CCP recovery and resolution regulation Opinion PDF
321.52 KB
25/01/2017 ESMA70-708036281-13 Exemption from the clearing obligation for pension schemes 24 Opinion PDF
199.19 KB
16/01/2017 ESMA03-445018618-7 Opinion on the exemption from the clearing obligation of Swedish pension schemes- Notification Ref. 21 Opinion PDF
135.73 KB
16/01/2017 ESMA03-445018618-8 Opinion on the exemption from the clearing obligation of Swedish pension schemes- Notification Ref. 23 Opinion PDF
203.07 KB
15/11/2016 2016/1575 Opinion- Common indicators for new products and services under Article 15 and for significant changes under Article 49 of EMIR Opinion PDF
246.48 KB
03/08/2016 2016/1233 Opinion on the exemption for Danish pension scheme Opinion PDF
205.32 KB
21/07/2016 2016/1131 BoS Decision on Fitch Ratings Limited 21 July 2016 , Decision PDF
108.21 KB
07/07/2016 2016/1073 Opinion on the exemption for Swedish pension scheme Opinion PDF
203.12 KB
30/06/2016 2016/998 Opinion on the exemption for Danish pension scheme Opinion PDF
227.83 KB
13/04/2016 2016/592-594 Opinions on Pension Schemes Exemptions Opinion PDF
273.73 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.