ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
24
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Q&A X SMSG Advice X Decision X Letter X European Single Electronic Format X Securities Financing Transactions X Risk Analysis & Economics - Markets Infrastructure Investors X Benchmarks X Trade Repositories X Sustainable finance X
Reset all filters
Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/07/2021 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) , Q&A PDF
534.4 KB
26/07/2021 EC letter Q&Ss Letter from the EU Commission to ESA JC- Q&As , Letter PDF
199.38 KB
26/07/2021 SFDR EC Q&A EC Q&A on sustainability-related disclosures , Q&A PDF
601.99 KB
23/07/2021 FISMA 08/07/2021 Letter from the EU Commission to EP and Council- SFDR , Letter PDF
288.48 KB
15/07/2021 ESMA81-391-71 Letter from Chairman of EUR Risk Free Rates WG to European Commission on transition from EONIA to Euro Short Term Rate Letter PDF
134.4 KB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository , Decision PDF
1.13 MB
28/05/2021 ESMA70-1861941480-52 Q&A on EMIR implementation , Q&A PDF
1.39 MB
28/05/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
349.73 KB
17/05/2021 ESMA22-106-3375 SMSG advice to the ESA’s Joint Consultation Paper on Taxonomy-related sustainability disclosures , SMSG Advice PDF
227.92 KB
29/01/2021 ESMA30-379-423 ESMA letter to EC on ESG ratings Letter PDF
82.4 KB
14/01/2021 JC 2021 02 Letter to EU Commission on priority issues relating to SFDR application , Letter PDF
210.03 KB
13/11/2020 ESMA22-106-2993 SMSG advice on Sustainability Templates , SMSG Advice PDF
184.15 KB
15/09/2020 ESMA22-106-2858 SMSG advice on ESG disclosure , SMSG Advice PDF
251.29 KB
16/07/2020 2020 07 15 ESAs Letter to EVP Dombrovskis re Sustainable Finance Consultation Letter PDF
118.46 KB
11/06/2020 2020 06 11 ESA letter to the EC , , Letter PDF
97.3 KB
05/09/2018 ESMA70-151-1719 Letter to VP Dombrovskis on opinion on SFTR Letter PDF
213.13 KB
05/09/2018 ESMA70-151-1651 Annex 1 Letter from European Commission on SFTR draft RTS Letter PDF
159.5 KB
05/01/2017 2016/1621 2016-1621 ESMA letter to EC on postponement of ESEF RTS , , Letter PDF
87.44 KB
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.

18/02/2016 2015/SMSG/036 SMSG Advice on ESEF , SMSG Advice PDF
109.63 KB