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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR MiFID - Secondary Markets Technical Standards PDF
2.85 MB
29/06/2012 2012/415 Call for Evidence on Empty Voting Transparency, Corporate Disclosure CESR Document PDF
275.66 KB		 ESMA launched a Call for Evidence on Empty Voting in September 2011 to analyse the potential issues and concerns raised by the practice of empty voting and to examine whether there was a possible need for further action. An analysis of the responses received to the consultation has led ESMA to conclude that there is insufficient evidence to justify any regulatory action at the European level at present.
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 Board of Supervisors, Trade Repositories Decision PDF
1.17 MB
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
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.
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository Board of Supervisors, Trade Repositories Decision PDF
1.13 MB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Trade Repositories Decision PDF
996.23 KB
11/10/2018 ESMA70-155-5775 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
219.76 KB
06/11/2020 ESMA70-155-11210 Delegation third country TV post trade transparency Board of Supervisors, MiFID - Secondary Markets Decision PDF
124.97 KB
11/10/2018 ESMA70-155-5905 Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits Board of Supervisors, MiFID - Secondary Markets Decision PDF
222.28 KB
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
810.07 KB		 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.
20/12/2013 2013/1970 Draft Regulatory Technical Standards on specific situations that require the publication of a supplement to the prospectus Prospectus, Corporate Disclosure Technical Standards PDF
713.74 KB		 The Final Report contains the draft Regulatory Technical Standard (RTS) on situations which require the publication of a supplement to the prospectus which ESMA is required to submit to the European Commission by 1 January 2014 in accordance with Article 16(3) of the Prospectus Directive. The Report furthermore includes a summary of the main responses received to ESMA’s Consultation Paper which was published in March 2013. The draft RTS sets out nine situations which are always considered to be significant in the context of securities issuance and where a supplement to the prospectus will always be required. Other situations would require a case-by-case assessment.
01/07/2015 2015/1014 Draft RTS on prospectus related issues under the Omnibus II Directive Corporate Disclosure Technical Standards PDF
949.89 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 Trading Decision PDF
395.8 KB		 bgcsdadeelesetfifrhrhuitltlvmtnlplptroskslsv
21/09/2018 esma70-156-769 ESMA opinion on MiFID II RTS 1 MiFID - Secondary Markets Technical Standards PDF
645.02 KB
20/03/2013 2013/318 Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies Prospectus, Corporate Disclosure, Transparency CESR Document PDF
265.19 KB
23/03/2011 2011/67 Feedback statement- Consultation Paper on proposed amendments to CESR Prospectus, Corporate Disclosure CESR Document PDF
384.63 KB
28/02/2017 ESMA70-872942901-21 - annex Final Draft RTS on packaged orders MiFID - Secondary Markets Technical Standards PDF
334.25 KB
11/12/2019 ESMA70-156-1535 Final Report amending ITS on main indices and recognised exchanges under CRR MiFID - Secondary Markets Technical Standards PDF
736.79 KB
19/12/2014 2014/1571 Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation MiFID - Secondary Markets Technical Standards PDF
281.16 KB		 The European Securities and Markets Authority (ESMA) has developed draft Implementing Technical Standards specifying main indices and recognised exchanges as required under Paragraph 8 of Article 197 of Regulation (EU) 575/2013 (Capital Requirements Regulation). These have now been submitted to the European Commission submitted for endorsement of the draft ITS.It has 3 months to make this decision.
28/09/2015 2015-ESMA-1464 Final Report- draft RTS and ITS on MIFID II and MiFIR MiFID - Secondary Markets Technical Standards PDF
2.74 MB

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