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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|04/08/2022||ESMA70-156-4448||Q&As- Central Securities Depositories Regulation||Post Trading, Supervisory convergence||Q&A||PDF
|20/07/2022||ESMA34-32-352||Q&A on the Application of the AIFMD||Fund Management, Supervisory convergence||Q&A||PDF
|19/07/2022||ESMA74-362-893||QAs on SFTR data reporting||Post Trading, Securities Financing Transactions, Trade Repositories||Q&A||PDF
|19/07/2022||ESMA70-1861941480-56||Q&A on MiFIR data reporting||MiFID - Secondary Markets, Supervisory convergence||Q&A||PDF
|23/06/2022||ESMA70-145-114||Q&A on the Benchmarks Regulation (BMR)||Benchmarks, Supervisory convergence||Q&A||PDF
|23/06/2022||ESMA70-145-111||Q&A on the Market Abuse Regulation||Market Abuse, Market Integrity||Q&A||PDF
The purpose of this document is to promote common supervisory approaches and practices in the application of MAR and its implementing measures. It does this by providing responses to questions posed by the general public and competent authorities in relation to the practical application of the MAR framework
The content of this document is aimed at competent authorities to ensure that in their supervisory activities and their actions are converging along the lines of the responses adopted by ESMA and at helping issuers, investors and other market participants by providing clarity on the content of the market abuse rules, rather than creating an extra layer of requirements.
|01/04/2022||ESMA32-51-370||Q&A on ESMA Guidelines on Alternative Performance Measures||Corporate Disclosure, Corporate Information||Q&A||PDF
|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
|28/02/2022||ESMA70-1861941480-52||Q&A on EMIR implementation||Post Trading, Trade Repositories||Q&A||PDF
|19/11/2021||ESMA35-43-349||Q&As on MiFID II and MiFIR investor protection topics||MiFID - Investor Protection, Supervisory convergence||Q&A||PDF
|23/09/2021||ESMA41-356-233||Decision- UnaVista Limited||Trade Repositories||Decision||PDF
|12/07/2021||ESMA41-356-187||Decision- DTCC Derivatives Repository||Board of Supervisors, Trade Repositories||Decision||PDF
|09/11/2020||ESMA31-67-127||Question and answers on Transparency Directive (TD)||Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency||Q&A||PDF
|03/11/2020||ESMA71-99-1423||QA Fast Track Peer Review- Wirecard||Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence||Q&A||PDF
|23/03/2020||ESMA22-328-275||Decision of the Management Board- Rules of Procedure||Corporate Information, Management Board||Decision||PDF
|11/04/2019||ESMA31-62-780||Q&A on Prospectus Related Topics||Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence||Q&A||PDF
|01/04/2016||2016/419||Q&A Market Abuse Directive||Market Abuse||Q&A||PDF
|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
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.
|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
|29/06/2012||2012/415||Call for Evidence on Empty Voting||Transparency, Corporate Disclosure||CESR Document||PDF
|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.|