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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
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.
|17/06/2016||2016/982||Opinion on inside information disclosure under the Market Abuse Regulation||Market Abuse||Opinion||PDF
|25/04/2017||ESMA70-145-76||Points for convergence in relation to MAR accepted market practices on liquidity contracts||Market Abuse, Market Integrity||Opinion||PDF
|30/05/2017||ESMA70-145-103||Communication on launch of reference data submission under MAR||Market Abuse, Market Integrity||Opinion||PDF
|13/04/2018||ESMA70-145-442||ESMA Opinion on AMF Accepted Market Practice on liquidity contracts||Market Abuse, Market Integrity||Opinion||PDF
|15/11/2018||ESMA70-145-1081||Annual report on administrative and criminal sanctions and other administrative measures under MAR||Market Abuse, Market Integrity||Annual Report||PDF
|19/09/2019||ESMA70-155-8524||ESMA Opinion CNMV revised Accepted Market Practice||Market Abuse, Market Integrity||Opinion||PDF
|31/01/2020||ESMA70-155-7850||Opinion- Relating to the intended Accepted Market Practice on liquidity contracts notified by the Commissione Nazionale per le Società e la Borsa (Consob)||Market Abuse||Opinion||PDF
|09/03/2020||ESMA80-199-332||ESMA Supervision- Annual Report 2019 and Work Programme 2020||Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories||Annual Report||PDF
|31/05/2021||ESMA70-155-11961||Opinion on AMF AMP||Market Abuse, Market Integrity||Opinion||PDF
|12/07/2021||ESMA41-356-187||Decision- DTCC Derivatives Repository||Board of Supervisors, Trade Repositories||Decision||PDF
|23/09/2021||ESMA41-356-233||Decision- UnaVista Limited||Trade Repositories||Decision||PDF
|23/11/2021||ESMA70-156-4673||Annual Report on MAR administrative and criminal sanctions 2021||Market Abuse||Annual Report||PDF
|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
|10/08/2022||ESMA70-452-447||Opinion CMVM revised AMP||Market Abuse, Market Integrity||Opinion||PDF