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25/02/2021 ESMA70-155-11890 Statement CumEx CumCum scandal- Fabrizio Planta , , , Speech PDF
132.57 KB
14/12/2020 ESMA80-187-831 Speech_ESMA Chair_EUR RFR WG Roundtable 2020 Speech PDF
136.39 KB
09/10/2020 ESM22-103-1158 ESM22-103-1158 Keynote Speech- Verena Ross- AFME Compliance and Legal Conference , , , , Speech PDF
133.94 KB
21/09/2020 ESMA80-187-627 City Week 2020 Speech , Speech PDF
160.6 KB
12/11/2019 ESMA63-313-548 Financial Regulation of the European Securities and Markets Authority , Decision PDF
759.59 KB
29/10/2019 ESMA71-319-150 Conference on the adaptation of interest rate benchmarks to the new European regulation on benchmarks- Steven Maijoor ESMA Chair at CNMV Conference , Speech PDF
109.75 KB
25/09/2019 ESMA71-319-141 Introductory remarks- Second roundtable on euro risk-free rates Speech PDF
108.47 KB
16/05/2019 ESMA34-45-712 Verena Ross- ICMA 2019 conference speech , , , Speech PDF
134.24 KB
31/05/2018 ESMA71-99-996 Towards benchmark stability and integrity Speech PDF
164.02 KB
23/01/2017 ESMA71-844457584-329 ESMA Chair keynote address at PRIME Finance Conference , , Speech PDF
281.45 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.

04/09/2008 3L3 04/09/08 Presentation held at the Public hearing on the Draft Advice on the review of commodities business Speech PDF
78.9 KB
31/07/2008 3l3 07/07/08 Presentation held at the Public hearing on Consultation Paper on the review of commodities business Speech PDF
81.58 KB
06/04/2007 3L3 1/02/07 EW "Conflicts of interest in financial services groups" Speech by Eddy Wymeersch Speech PDF
88.45 KB
06/04/2007 3L3 1/02/07 MP "Conflicts of interest in financial services" speech by Michel Prada Speech PDF
29.12 KB
31/01/2007 07-055 "The regulatory regimes in the EU and in the US" by CESR Chairman Arthur Docters van Leeuwen- Delivered by Wim Moeliker Speech PDF
80.2 KB
Delivered in Athens, 17 January 2007
25/10/2006 CESR 18/10/06 CESR's fifth anniversary- Intervention by Mr Thierry BRETON, French Minister of Economy, Finance and Industry Speech PDF
153.91 KB
11/10/2005 ECOFIN 3L3 Speeches by the Lamfalussy Chairs at ECOFIN 11 October, on Progress and opportunities for better regulation Speech PDF
99.62 KB
27/09/2005 05-579 Speech by John Tiner, Chairman of CESR-Fin, at the IASB meeting with World Standard setters Speech PDF
86.89 KB
21/09/2005 05-552 CESR’s Investment Management Agenda: First Experiences & Future Priorities” by Arthur Docters van Leeuwen Speech PDF
93.66 KB
Keynote Address by Arthur Docters van Leeuwen, Chairman of the Committee of European Securities Regulators, at the EFAMA INVESTMENT FORUM 2005, which took place in Brussels on 23rd September 2005