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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/09/2021 ESMA74-362-893 QAs on SFTR data reporting , , Q&A PDF
356.79 KB
06/08/2021 ESMA70-145-111 Q&A on the Market Abuse Regulation , Q&A PDF
475.69 KB

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.

19/11/2021 ESMA70-1861941480-52 Q&A on EMIR implementation , Q&A PDF
1.37 MB
23/04/2020 JC 2020 16 Joint ESA consultation on ESG disclosures , Consultation Paper PDF
911.13 KB
09/07/2020 ESMA74-362-608 Guidelines on calculation of positions in SFTs by Trade Repositories , Consultation Paper PDF
799.81 KB
14/11/2013 2013/1649 ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation , Consultation Paper PDF
950.26 KB
The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR). MAR aims to enhance market integrity and investor protection. It will achieve this by updating and strengthening the existing market abuse framework, by extending its scope to new markets and trading strategies, and by introducing new requirements. The Discussion Paper presents positions and regulatory options on those issues where ESMA will have to develop MAR implementing measures, likely to include Regulatory Technical Standards, Delegated Acts and Guidelines. These implementing measures are of fundamental importance to the new regime, as they set out how MAR’s enlarged scope is to be implemented in practice by market participants, trading platforms, investors, issuers and persons related to financial markets. In developing these regulatory options ESMA, where similar requirements already exist under the current Market Abuse Directive (MAD), has taken into consideration the existing MAD Level 2 texts and ESMA/CESR guidelines to set out the DP positions in light of the extended scope of MAR. This Discussion Paper is based on the version of the MAR Level 1 text agreed by the European Parliament, the Council and the European Commission on 24 June 2013. Consultation Reference 2013/1649 Closing date for responses Monday, 27 January 2014 Contact market.integrity[at]esma.europa.eu
17/09/2020 ESMA70-155-11072 ESMA Decision- renewal Article 28 SSR reporting threshold- September 2020 , , Decision PDF
396.47 KB
11/06/2020 ESMA70-155-10189 ESMA Decision- renewal Article 28 SSR reporting threshold , , Decision PDF
333.33 KB
16/03/2020 ESMA70-155-9546 ESMA decision on thresholds for reporting net short positions , , Decision PDF
236.65 KB
26/03/2020 ESMA70-155-9546 ESMA Decision Article 28 SSR_reporting threshold , Decision PDF
236.57 KB
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17/12/2020 106/20/COL ESA Third Renewal Decision under Art. 28(1) SSR , , Decision PDF
973.25 KB
30/11/2021 SFDR EC Q&A CORRECTION EC Q&A on sustainability-related disclosures- correction , Q&A PDF
87.19 KB
26/07/2021 SFDR EC Q&A EC Q&A on sustainability-related disclosures , Q&A PDF
601.99 KB
15/02/2016 2016/288 Discussion Paper Benchmarks Regulation , Consultation Paper PDF
1017.02 KB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Decision PDF
996.23 KB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository , Decision PDF
1.13 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 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.

17/12/2020 ESMA70 -155-11608 Decision renewal art. 28 SSR reporting threshold- December 2020 , , Decision PDF
246.27 KB
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24/03/2021 ESMA74-362-1864 CP Technical Advice on simplification TR fees under SFTR and EMIR , Consultation Paper PDF
494.16 KB
27/03/2020 ESMA74-362-47 CP on the TS on reporting data quality data access and registration of TRs under EMIR REFIT , , Consultation Paper PDF
2.66 MB