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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/04/2021 ESMA80-193-1713 EMIR and SFTR data quality report 2020 Market data, Press Releases, Securities Financing Transactions, Supervisory convergence Final Report PDF
791.94 KB
17/12/2021 ESMA74-362-893 QAs on SFTR data reporting Post Trading, Securities Financing Transactions, Trade Repositories Q&A PDF
369.27 KB
12/07/2021 ESMA74-362-1978 Final report Technical Advice to EC on simplification and harmonisation of fees to TRs under EMIR and SFTR Market data, Post Trading, Securities Financing Transactions, Trade Repositories Final Report PDF
278.42 KB
06/04/2021 ESMA74-362-1853 Final report Draft Guidelines On periodic information to be submitted to ESMA by Trade Repositories Market data, Supervisory convergence, Trade Repositories Final Report PDF
221.11 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence Q&A PDF
248.14 KB
01/12/2021 ESMA70-1861941480-52 Q&A on EMIR implementation Post Trading, Trade Repositories Q&A PDF
1.48 MB
31/03/2020 ESMA43-370-103 Final report on TA on EMIR 2.2 CCP fines CCP Directorate, Credit Rating Agencies, Post Trading, Trade Repositories Final Report PDF
478.11 KB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Trade Repositories Decision PDF
996.23 KB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository Board of Supervisors, Trade Repositories Decision PDF
1.13 MB
10/11/2021 ESMA35-42-1183 Draft technical standards under the European crowdfunding service providers for business Regulation Crowdfunding, MiFID - Investor Protection Final Report PDF
1.43 MB
19/11/2021 ESMA35-42-1088 Q&A on the European crowdfunding service providers for business Regulation Crowdfunding Q&A PDF
176.89 KB
31/05/2021 ESMA32-60-727 Final Report draft RTS amending RTS on ESEF 2021 Corporate Disclosure, European Single Electronic Format Final Report PDF
9.47 MB
07/06/2019 ESMA32-60-474 Draft RTS amending Delegated Regulation (EU) 2018/815 on the updates of the taxonomy to be used for the ESEF Corporate Disclosure, European Single Electronic Format Final Report PDF
6.5 MB
17/04/2020 ESMA32-51-370 Q&A on ESMA Guidelines on Alternative Performance Measures Corporate Disclosure, Corporate Information Q&A PDF
329.01 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency Q&A PDF
352.79 KB
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
957.9 KB
17/07/2018 ESMA31-62-1002 Final report on draft regulatory technical standards under the Prospectus Regulation Corporate Disclosure Final Report PDF
1.46 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 Trade Repositories 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.
14/11/2016 2016/1565 Final Report on the clearing obligation for financial counterparties with a limited volume of activity Post Trading, Press Releases Final Report PDF
478.72 KB
21/07/2016 2016/1131 BoS Decision on Fitch Ratings Limited 21 July 2016 Credit Rating Agencies, Press Releases Decision PDF
108.21 KB

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