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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
06/04/2021 ESMA74-362-249 Guidelines On periodic information to be submitted to ESMA by Trade Repositories , , Guidelines & Recommendations PDF
223.73 KB
27/08/2020 ESMA22-106-2371 SMSG Rules of Procedure 2020 Decision PDF
166.57 KB
16/12/2019 JC/2019/81 Joint guidelines on cooperation and information exchange for the purpose of Directive (EU) 2015/849 between competent authorities supervising credit and financial institutions Guidelines & Recommendations PDF
1.34 MB
12/11/2019 ESMA63-313-548 Financial Regulation of the European Securities and Markets Authority , Decision PDF
759.59 KB
30/04/2018 BoA 2018-01 Decision in an appeal by A v ESMA , Decision PDF
392.62 KB
21/03/2018 ESMA71-99-598 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations ZIP
871.26 KB
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26/09/2017 ESMA71-99-598 Final Report on Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , , Guidelines & Recommendations PDF
1.48 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 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.

21/10/2015 JC/2015/061 Joint Draft Guidelines on AML_CFT RFWG Art 17 and 18 Guidelines & Recommendations PDF
630.58 KB
05/10/2015 2015/1415 ESMA Guidelines on Alternative Performance Measures , Guidelines & Recommendations PDF
252.43 KB

BG  - Преводът е предоставен от Центъра за преводи за органите на Европейския съюз.
CS - Tento překlad vypracovalo Překladatelské středisko pro instituce Evropské unie.
DA - Denne oversættelse er udarbejdet af Oversættelsescentret for Den Europæiske Unions Organer.
DE - Die Übersetzung erfolgte durch das Übersetzungszentrum für die Einrichtungen der Europäischen Union.
EL - Η παρούσα μετάφραση έγινε από το Μεταφραστικό Κέντρο των Οργάνων της Ευρωπαϊκής Ένωσης.
ES - Texto traducido por el Centro de Traducción de los Órganos de la Unión Europea
ET - Selle tõlke tegi Euroopa Liidu Asutuste Tõlkekeskus.
FI - Euroopan unionin elinten käännöskeskus on tehnyt tämän käännöksen.
FR - La présente traduction a été fournie par le Centre de traduction des organes de l’Union européenne.
HR - Za prijevod se pobrinuo Prevoditeljski centar za tijela Europske unije.
HU - Ezt a fordítást az Európai Unió
IT - La presente traduzione è stata fornita dal Centro di traduzione degli organismi dell’Unione europea.
LT - Šį tekstą išvertė Europos Sąjungos įstaigų vertimo centras.
LV - Šo tulkojumu ir nodrošinājis Eiropas Savienības iestāžu Tulkošanas centrs.
MT - Din it-traduzzjoni ġiet ipprovduta  miċ-Ċentru tat-Traduzzjoni għall-Korpi tal-Unjoni Ewropea.
NL - Deze vertaling is verzorgd door het Vertaalbureau voor de organen van de Europese Unie.
PL - Tłumaczenie wykonane przez Centrum Tłumaczeń dla Organów Unii Europejskiej.
PT - Esta tradução foi fornecida pelo Centro de Tradução dos Organismos da União Europeia.
RO - Această traducere a fost asigurată de Centrul de Traduceri pentru Organismele Uniunii Europene.
SK - Preklad vyhotovilo Prekladateľské stredisko pre orgány Európskej únie.
SL - Prevod je zagotovil Prevajalski center za organe Evropske unije.
SV - Den här översättningen har utförts av Översättningscentrum för Europeiska unionens organ.

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14/08/2015 BOA/2015/001 Decision of the Board of Appeal of the European Supervisory Authorities given under Article 60 of Regulation (EU) No 1094/2010 and the Board of Appeal’s Rules of Procedure (BOA 2012 002) , Decision PDF
147.78 KB
28/01/2015 2014/SMSG/002 Decision- Rules of procedure of the Securities and Markets Stakeholder Group Decision PDF
131.88 KB
22/12/2014 JC/GL/2014/01/SV Bilaga I: Mall för kartläggningsprocessen för det finansiella konglomeratet (JC 2014 070 , Guidelines & Recommendations XLSX
62.26 KB
22/12/2014 JC/GL/2014/01/SL Priloga I: Predloga za postopek vzporejanja za finančni konglomerat (JC 2014 070 Prilog , Guidelines & Recommendations XLSX
82.26 KB
22/12/2014 JC/GL/2014/01/SK Príloha I: Šablóna na proces mapovania finačného konglomerátu (JC 2014 070 príloha) , Guidelines & Recommendations XLSX
65.22 KB
22/12/2014 JC/GL/2014/01/RO Anexa I: Formular pentru procesul de mapare aferent conglomeratului financiar (Anexa 2014 070 a , Guidelines & Recommendations XLSX
66.2 KB
22/12/2014 JC/GL/2014/01/PT Anexo I: Modelo para o processo de levantamento do conglomerado financeiro (JC 2014 070 Anexo) , Guidelines & Recommendations XLSX
68.14 KB
22/12/2014 JC/GL/2014/01/PL Załącznik I: Szablon dla procesu mapowania dla konglomeratu finansowego (załącznik JC 2014 070) , Guidelines & Recommendations XLSX
81.46 KB
22/12/2014 JC/GL/2014/01/NL Bijlage I: Model voor het in kaart brengen (mapping) van het financiële conglomeraat (JC 2014 07 , Guidelines & Recommendations XLSX
67.95 KB
22/12/2014 JC/GL/2014/01/MT Anness I: Mudell għall-proċess ta’ mmappjar għall-konglomerat finanzjarju (Anness JC 2014 070) , Guidelines & Recommendations XLSX
68.01 KB

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