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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|13/12/2019||ESMA43-370-12||Consultation Paper on CCP penalties||Post Trading||Consultation Paper||PDF
|04/10/2019||ESMA70-156-1555||Alignment of MiFIR with the changes introduced by EMIR Refit||MiFID - Secondary Markets, Post Trading||Consultation Paper||PDF
|03/10/2019||ESMA70-151-2672||Draft technical advice on commercial terms for providing clearing services under EMIR (FRANDT)||Post Trading||Consultation Paper||PDF
|28/05/2019||ESMA70-151-2138||CP TA on tiering criteria||Post Trading||Consultation Paper||PDF
|28/05/2019||ESMA70-151-2179||CP TA on comparable compliance||Post Trading||Consultation Paper||PDF
|28/05/2019||ESMA70-151-1663||CP on EMIR_2_2_CCP fees||Post Trading||Consultation Paper||PDF
|27/05/2019||ESMA70-145-1145||Consultation paper on Guidelines on periodic information and notification of material changes to be submitted to ESMA by Trades Repositories||Market Integrity, Post Trading||Consultation Paper||PDF
|27/05/2019||ESMA70-151-1985||Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR||Securities Financing Transactions||Consultation Paper||PDF
|20/12/2018||ESMA70-151-1855||Consultation Paper on CSDR Guidelines on settlement fails reporting||Post Trading||Consultation Paper||PDF
|20/12/2018||ESMA70-151-1847||Consultation Paper on CSDR GL on Art 6 standardised procedures and messaging protocols||Post Trading||Consultation Paper||PDF
|13/07/2018||ESMA31-62-996||Consultation Paper on Guidelines on Risk Factors||Corporate Finance||Consultation Paper||PDF
|13/07/2018||ESMA31-62-962||Consultation Paper on minimum information content for prospectus exemption||Corporate Finance||Consultation Paper||PDF
|11/07/2018||ESMA70-151-1530||Consultation Paper no.6 on the Clearing Obligation||Post Trading||Consultation Paper||PDF
|04/05/2018||JC 2018 14||Consultation Paper on amendments to the EMIR Clearing Obligation under the Securitisation Regulation||Post Trading||Consultation Paper||PDF
|08/01/2018||ESMA70-151-1013||Consultation Paper on Draft Guidelines on Anti-Procyclicality Margin Measures for CCPs||Post Trading||Consultation Paper||PDF
|17/11/2017||ESMA70-151-819||Consultation paper on position calculation under EMIR||Post Trading||Consultation Paper||PDF
|10/07/2017||ESMA70-151-457||Consultation paper on guidelines on Internalised Settlement Reporting under Article 9 of CSDR||Post Trading||Consultation Paper||PDF
|01/06/2017||ESMA70-151-291||Consultation paper on guidelines on CCPs' conflict of interest management||Post Trading||Consultation Paper||PDF
|31/01/2017||ESMA70-708036281-17||Consultation Paper on ESMA’s Guidelines on transfer of data between TRs||Post Trading||Consultation Paper||PDF
|19/12/2016||2016/1672||Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR||Post Trading||Consultation Paper||PDF
Reasons for publication
On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a delegated act.
The present report contains nine sections. Section 1 refers to the Executive Summary of the report. Section 2 explains the background to our proposals. Section 3 outlines the ESMA’s expected costs. Section 4 establishes the general approach for the determination of fees under EMIR and SFTR. Section 5 explains how ESMA will manage surpluses and deficits under EMIR and SFTR. Section 6 points out the rationale and computation of TRs fees for registration and extension of registration under SFTR. Sections 7 and 8 present the supervision fees under EMIR and SFTR and recognition fees under SFTR. Section 9 refers to the conditions of payment and reimbursement and, finally, Section 10 addresses the instances where delegation to NCAs takes place. Annex I contains the summary of the questions posed by ESMA and Annex II includes the Commission’s mandate to ESMA.
The amendments to fees under EMIR that are consulted in this document are required in order to ensure level –playing field with the ESMA’s fees to TRs under SFTR.
ESMA will consider the feedback it receives to this consultation in Q1 2017 and expects to publish and submit a final report of the technical advice to the European Commission for endorsement by end of Q1/beginning of Q2 of 2017.