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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|19/12/2011||2011/BS/229||Decision of the European Securities and Markets Authority establishing its Review Panel||Board of Supervisors, Corporate Information, Supervisory convergence||Decision||PDF
|This decision establishes the Review Panel of ESMA and sets out its mandate.|
|03/08/2012||OJ/26/06/2012 - tendes specs||Tender specifications- Annex VII- Financial porposal||Procurement||Reference||PDF
|16/08/2012||QA 84 - 87 OJ/26/06/2012-PROC/2012/004||Q&A 84-87 regarding tender ESMA registers||Procurement||Reference||PDF
|16/11/2012||2012/752||Call for expressions of interest: Consultative Working Group for ESMA’s Financial Innovation Standing Committee||Innovation and Products||Reference||PDF
|To apply, please use the below Application form|
|05/07/2013||2013/ITMG/14||Terms of Reference IT Management and Governance Group||ITMG||Reference||PDF
|16/10/2013||2013/LCC/039||ESMA Specific Privacy Notice – Public procurement||Corporate Information, Procurement||Reference||PDF
|25/11/2013||2013/1709||Review Panel Methodology||Supervisory convergence||Reference||PDF
|18/11/2014||2014/1371||Call for expressions of interest: Consultative Working Group for ESMA’s Financial Innovation Standing Committee||Innovation and Products||Reference||PDF
|ESMA today launches a process to renew the composition of the Consultative Working Group (‘CWG’) for the Financial Innovation Standing Committee (’FISC’). ESMA is therefore calling for expressions of interest from stakeholders. Application procedure, closing date Relevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CWG are invited to submit, in English: a completed application form (see separate document), and a detailed curriculum vitae (CV), preferably in the EU CV format - the link to the template for this is: http://europass.cedefop.europa.eu/europass/home/hornav/Downloads/Europas... It is optional for applicants to attach a motivation letter (2 pages maximum). Unclear or incomplete applications will not be considered. Applications must be submitted by email using the application form by no later than 31 December 2014 to the following email addresses: firstname.lastname@example.org and email@example.com.|
|03/09/2015||2012/236||Annual list of contractors- 2011||Procurement||Reference||PDF
|03/09/2015||2013/890||Annual list of contractors- 2012||Procurement||Reference||PDF
|03/09/2015||2014/713||Annual list of contractors- 2013||Procurement||Reference||PDF
|03/09/2015||2015/931||Annual list of contractors- 2014||Procurement||Reference||PDF
|03/09/2015||Procurement conditions||Procurement- General conditions with ESMA||Procurement||Reference||PDF
|07/01/2016||2015-12-16 OECD||OECD A Blundell-Wignall speech for ESMA FI Day||Innovation and Products||Reference||PDF
|07/01/2016||2015/1913||ESMA FI Day- Panel outlines||Innovation and Products||Reference||PDF
|07/01/2016||2015/1914||Agenda for ESMA FI Day||Innovation and Products||Reference||PDF
|11/02/2016||2016/203||2016 Supervisory Convergence Work Programme||Corporate Information, Supervisory convergence||Reference||PDF
The European Securities and Markets Authority’s (ESMA) Supervisory Convergence Work Programme for 2016 (2016 SCWP) supplements ESMA’s Annual Work Programme for 2016 (ESMA/2015/1475) by further elaborating the nature and focus of the work ESMA will carry out in order to promote supervisory convergence and how that will contribute to implementing ESMA’s Strategic Orientation for 2016-2020 (ESMA/2015/935).
The 2016 SCWP provides an overview and explanation of the steps ESMA will take in 2016 to promote sound, efficient and consistent supervision in the EU. It sets out priority areas and how they have been identified and sets them in the context of the wider work programme and environment.
Implementation of the 2016 SCWP will be monitored in the course of 2016 and depending on developments during the year, priorities might be re-adjusted. It will also be used to inform ESMA’s Annual Report and its supervisory convergence work programme for future years which will be risk-based.
|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
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.
|04/04/2016||2016/220||ToR FISC||Innovation and Products||Reference||PDF