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Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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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 |
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23/09/2021 | ESMA41-356-233 | Decision- UnaVista Limited | Trade Repositories | Decision | PDF 996.23 KB |
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12/07/2021 | ESMA41-356-187 | Decision- DTCC Derivatives Repository | Board of Supervisors, Trade Repositories | Decision | PDF 1.13 MB |
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29/09/2020 | ESMA-22-328-402 | Decision on Conflict of Interest Policy for Non-Staff | Management Board | Decision | PDF 147.09 KB |
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24/06/2020 | ESMA64-87-193 | Management Board decision- Implementing rules on the middle management staff | Careers, Management Board | Decision | PDF 210.2 KB |
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23/03/2020 | ESMA22-328-275 | Decision of the Management Board- Rules of Procedure | Corporate Information, Management Board | Decision | PDF 144.92 KB |
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11/02/2020 | ESMA22-328-356 | Decision of the Board of Supervisors- Election of Management Board Members | Board of Supervisors, Management Board | Decision | PDF 116.69 KB |
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01/10/2019 | ESMA63-313-528 | Financial Regulation of the European Securities and Markets Authority | Management Board, Procurement | Decision | PDF 445.94 KB |
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26/01/2017 | ESMA40-1432018523-304 | Decision- Adopting Rules of Procedure on Professional Secrecy | Management Board | Decision | PDF 332.94 KB |
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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. |
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18/02/2016 | 2015/SMSG/036 | SMSG Advice on ESEF | European Single Electronic Format, Securities and Markets Stakeholder Group | SMSG Advice | PDF 109.63 KB |
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25/09/2015 | 2015/1462 | ESMA opinion on accounting for Deposit Guarantee Scheme | Corporate Disclosure, IFRS Supervisory Convergence | Opinion | PDF 127.91 KB |
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01/07/2015 | 2015/1015 | ESMA assessment of Israeli laws and regulations on prospectuses | Corporate Disclosure | Opinion | PDF 173.89 KB |
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02/07/2014 | 2014/MB/39 | Decision on the Implementing Rules to the Financial Regulation of ESMA | Management Board | Decision | PDF 279.01 KB |
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02/07/2014 | 2014/MB/38 | Decision on the Financial Regulation of ESMA | Management Board | Decision | PDF 392.78 KB |
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18/12/2013 | 2013/1944 | Format of the base prospectus and consistent application of Article 26(4) of the Prospectus Regulation | Prospectus, Corporate Disclosure | Opinion | PDF 75.6 KB |
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20/03/2013 | 2013/317 | Framework for the assessment of third country prospectuses under Article 20 of the Prospectus Directive | Prospectus, Corporate Disclosure | Opinion | PDF 725.59 KB |
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31/05/2011 | 2011/MB/69 | Decision of the Management Board- Access to documents | Management Board, Corporate Information | Decision | PDF 201.73 KB |
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10/03/2011 | 2011/MB/3 | Decision of the Management Board- Internal language arrangements | Management Board, Corporate Information | Decision | PDF 18.51 KB |
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10/03/2011 | 2011/MB/4 | Decision of the Management Board- Professional secrecy | Management Board, Corporate Information | Decision | PDF 34.68 KB |