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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
1.17 MB
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
12/10/2020 ESMA64-87-216 Management Board Decision- Condition of employments of Contract Agents Careers Decision PDF
229.09 KB
24/06/2020 ESMA64-87-193 Management Board decision- Implementing rules on the middle management staff Careers, Management Board Decision PDF
210.2 KB
01/10/2019 ESMA63-313-528 Financial Regulation of the European Securities and Markets Authority Management Board, Procurement Decision PDF
445.94 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 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.