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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
24/05/2013 request for technical advice Request from the European Commission for ESMA’s technical advice on procedural rules for taking supervisory measures and imposing fines on trade repositories Reference PDF
626.54 KB
07/11/2013 MARKT/G2/PSDM/bh (2013) 3663122 EC letter to ESMA on reporting of ETDs Reference PDF
430.71 KB
01/04/2014 2014/336 Trade Repository Supervision Work Plan 2014 Reference PDF
111.34 KB

The European Securities and Markets Authority (ESMA) is publishing a summary of its 2014 supervisory work plan in relation to trade repositories (TRs) with the aim of enhancing the transparency of its actions regarding TRs in the European Union. TRs centrally collect and maintain the records of derivative trades and play a central role in enhancing the transparency of derivative markets and reducing risks to financial stability. In November 2013, ESMA registered six TRs. The obligation for counterparties to report their derivative trades to registered TRs began on 12 February 2014. Under Titles VI and VII of Regulation EU 648/2012 (EMIR), the direct supervision of TRs has been entrusted to ESMA, who has started to supervise the six registered TRs. Supervision of TRs by ESMA is crucial to ensuring that TRs comply on an on-going basis with all EMIR requirements, thereby enabling regulators to access data and details of derivative contracts in order for them to fulfil their respective mandates.

07/11/2014 ODRG 7/11/14 Report of the OTC Derivatives Regulators Group (ODRG) to G20 Leaders on Cross-Border Implementation Issues Reference PDF
460.72 KB
19/12/2014 EC 18/12/2014 annex Letter from European Commission- Annex with Amended draft RTS on clearing obligation for IRS Reference PDF
74.34 KB
24/02/2015 MOC ESMA JFSA MoC ESMA and JFSA regarding CCPs Reference PDF
767.27 KB
27/08/2015 2015/1295 RP Response form for the Discussion Paper on Review of Article 26 of RTS 153/2013 Reference DOCX
781.64 KB
04/11/2015 EMIR VT EMIR validation table Reference XLSX
26.48 KB
06/11/2015 NFC no CT Notification of NFC no longer exceeding the clearing threshold Reference XLSX
50.16 KB

This notification may be submitted to ESMA (EMIR-notifications@esma.europa.eu) preferably in Excel format, using the form hereby by a non-financial counterparty that no longer exceeds the clearing threshold for any of the following: 

a)     OTC credit derivative contracts;   
b)     OTC equity derivative contracts;   
c)     OTC foreign exchange derivative contracts;   
d)     OTC interest rate derivative contracts; and  
e)     OTC commodity derivative contracts and other OTC derivative contracts not defined under points (a) to (d). 
09/11/2015 ODRG/06/11/15 Report of the ODRG to the G20 Nov (06112015) Reference PDF
215.5 KB
26/11/2015 MoU ESMA-SFC MoU ESMA-SFC indirect access to TR data Reference PDF
537.43 KB
11/12/2015 Post-trading links Links to key Post Trading documents Reference PDF
603.88 KB
07/01/2016 MoU for Alberta Canada Signed MoU for Alberta Canada Reference PDF
169.77 KB
07/01/2016 MoU for Quebec, Ontario, Manitoba - Canada Signed MoU for Quebec, Ontario, Manitoba- Canada Reference PDF
5.7 MB
07/01/2016 MoU for Switzerland Signed MoU for Switzerland Reference PDF
169.92 KB
26/01/2016 MoU for Mexico Signed MoU for Mexico (CNBV) Reference PDF
128.44 KB
26/01/2016 MoU for South Africa Signed MoU for South Africa (FSB) Reference PDF
175.99 KB
01/02/2016 2016/174 Final Report on CSDR RTS on settlement discipline Report PDF
1.59 MB
01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Report PDF
1.39 MB
18/02/2016 EPSA List of Exempted Pension Schemes Reference PDF
269.08 KB

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