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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/01/2014 2013/1965 Technical Advice to the Commission on procedural rules to impose fines and periodic penalty payments to Trade Repositories Technical Advice PDF
385.87 KB

Reasons for publication On 29 of April 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating procedural rules to impose fines and periodic penalty payments to trade repositories (TRs) by delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the procedural rules to impose fines and periodic penalty payments to TRs. Respondents to the consultation were encouraged to provide the relevant information in support of their arguments or proposals. ESMA published the consultation on 18 October 2013. The market participants could provide their comments until 15 November 2013. In total ESMA received two responses to the consultation. The respondents have required confidential treatment for their input. ESMA would like to thank respondents for providing input. Contents This document sets out a summary of the responses received by ESMA regarding the procedural rules to impose fines and periodic penalty payments to TRs and includes ESMA’s final technical advice to the Commission on the future Regulation on the procedural rules to impose fines and periodic penalty payments to TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered them carefully. Next steps ESMA will follow-up on this work with the Commission towards the adoption of the Commission delegated regulation on procedural rules to impose fines and periodic penalty payments to TRs.

03/09/2013 2013/1157 Technical advice on third country regulatory equivalence under EMIR – US Technical Advice PDF
5.06 MB
03/09/2013 2013/1162 Technical advice on third country regulatory equivalence under EMIR – Switzerland Technical Advice PDF
3.65 MB
03/09/2013 2013/1161 Technical advice on third country regulatory equivalence under EMIR – Singapore Technical Advice PDF
3.55 MB
03/09/2013 2013/1158 Technical advice on third country regulatory equivalence under EMIR – Japan Technical Advice PDF
3.76 MB
03/09/2013 2013/1160 Technical advice on third country regulatory equivalence under EMIR – Hong Kong Technical Advice PDF
3.57 MB
03/09/2013 2013/1159 Technical advice on third country regulatory equivalence under EMIR – Australia Technical Advice PDF
3.82 MB
11/11/2019 ESMA70-151-2649 Technical advice on comparable compliance Technical Advice PDF
790.06 KB
03/10/2016 2016/BS/201rev Summary of Conclusions- Board of Supervisors Meeting 12 July 2016 Summary of Conclusions PDF
230.3 KB
03/11/2022 ESMA22-106-4184 Summary of conclusions TRACE DBP- 21 September 2022 , Summary of Conclusions PDF
83.58 KB
01/12/2015 2015/BS/202rev1 Summary of Conclusions September 2015 Board meeting Summary of Conclusions PDF
268.78 KB
24/02/2022 ESMA22-106-3735 Summary of Conclusions Joint BoS-SMSG- 18 November 2021 , Summary of Conclusions PDF
95.46 KB
10/03/2020 ESMA22-106-2123 Summary of Conclusions Joint BoS and SMSG meeting 4 December 2019 , Summary of Conclusions PDF
95.58 KB
10/09/2019 ESMA22-106-1925 Summary of Conclusions Joint BoS and SMSG meeting 12 July 2019 , Summary of Conclusions PDF
95.54 KB
05/04/2016 2016/BS/61rev1 Summary of conclusions BoS meeting 27/01/2016 Summary of Conclusions PDF
258.36 KB
19/07/2016 2016-BS-151rev1 Summary of Conclusions BoS meeting 25 May 2016 Summary of Conclusions PDF
303.49 KB
01/06/2016 2016/BS/110rev1 Summary of conclusions BoS meeting 23/03/2016 Summary of Conclusions PDF
258.81 KB
05/04/2016 2016/BS/72rev1 Summary of conclusions BoS meeting 07/03/2016 Summary of Conclusions PDF
148.73 KB
04/02/2021 ESMA22-106-3107 Summary of Conclusions Board of supervisors-SMSG- 17 December 2020 , Summary of Conclusions PDF
119.06 KB
11/11/2022 ESMA22-106-4181 Summary of conclusions Board of Supervisors- 8 September 2022 Summary of Conclusions PDF
158.8 KB

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