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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|03/09/2013||2013/1157||Technical advice on third country regulatory equivalence under EMIR – US||Post Trading||Technical Advice||PDF
|03/09/2013||2013/1158||Technical advice on third country regulatory equivalence under EMIR – Japan||Post Trading||Technical Advice||PDF
|03/09/2013||2013/1159||Technical advice on third country regulatory equivalence under EMIR – Australia||Post Trading||Technical Advice||PDF
|03/09/2013||2013/1160||Technical advice on third country regulatory equivalence under EMIR – Hong Kong||Post Trading||Technical Advice||PDF
|03/09/2013||2013/1161||Technical advice on third country regulatory equivalence under EMIR – Singapore||Post Trading||Technical Advice||PDF
|03/09/2013||2013/1162||Technical advice on third country regulatory equivalence under EMIR – Switzerland||Post Trading||Technical Advice||PDF
|05/08/2014||2014/1009||Guidelines and Recommendations on the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructures in respect of CCP||Guidelines and Technical standards||Guidelines & Recommendations||PDF
|These Guidelines and Recommendations concern the implementation of the CPSS-IOSCO Principles for Financial Market Infrastructure (PFMIs) by competent authorities as part of the exercise of their duties resulting from EMIR for the authorisation and supervision of CCPs under Article 22(1) of EMIR.|
|30/01/2014||2014/123||ESMA Technical advice on equivalence of Japan for CCP II- Commodities CCPs||Post Trading||Technical Advice||PDF
ESMA delivers second set of advice on EMIR equivalence Following its technical advice published on 9 September 2013, the European Securities and Market Authority (ESMA) has published a supplement to its advice to the European Commission on the equivalence of the regulatory regime for central counterparties (CCPs) of Japan with the European Markets Infrastructure Regulation (EMIR). This supplement to the September 2013 Final report sets out ESMA’s advice to the European Commission is in respect of the equivalence between the Japanese regulatory regime for commodity CCPs and the regulatory regime for CCPs under EMIR. ESMA proposes conditional equivalence As for ESMA’s advice to the Commission in respect of Japan for CCPs which clear transactions relating to securities, currencies, interest rates, credit, weather, GDP and other indices, ESMA considers that the Japanese regulatory regime for commodity CCPs contains legal provisions and involves supervision and enforcement similar to that of EMIR. The Commission is expected to use ESMA’s technical advice to prepare possible equivalence decisions. Where it adopts such a decision, certain provisions of EMIR may be disapplied in favour of equivalent third-country rules. In particular, ESMA may recognise within the EU a CCP which is authorised outside the EU. The different pieces of advice are available on ESMA’s website.
|01/04/2014||2014/336||Trade Repository Supervision Work Plan 2014||Post Trading||Reference||PDF
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.
|22/05/2015||2015/881||Feedback statement on the discussion paper on the impact of EMIR on the calculation of counterparty risk for OTC financial derivative transactions by UCITS||Fund Management||Reference||PDF
|30/09/2016||2016/1409||Reply Form to CP on Draft RTS and ITS under SFTR and amendments to related EMIR RTS||Reference||DOCX
|15/12/2016||2016/1661 RF||Reply Form to CP- Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR||Post Trading||Reference||DOCX
|19/12/2016||2016/1672 reply form||Reply Form to Technical Advice on fees for TRs under SFTR and on certain amendments of for fees under EMIR||Post Trading||Reference||DOCX
|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.
|04/11/2015||EMIR VT||EMIR validation table||Post Trading||Reference||XLSX
|03/04/2017||ESMA70-145-63||Validation table for reporting under the revised technical standards||Post Trading||Reference||XLSX
|12/11/2019||ESMA70-148-523||List of Central Counterparties authorised to offer services and activities in the Union||Post Trading||Reference||PDF
|27/03/2018||ESMA70-151-1272||ESMA Guidelines on position calculation by trade repositories under EMIR Final Report||Post Trading||Guidelines & Recommendations||PDF
|28/03/2019||ESMA70-151-1350||Guidelines on position calculation by Trade Repositories under EMIR||Guidelines and Technical standards, Post Trading||Guidelines & Recommendations||PDF
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LT - Šį tekstą išvertė Europos Sąjungos įstaigų vertimo centras.
LV - Šo tulkojumu ir nodrošinājis Eiropas Savienības iestāžu Tulkošanas centrs.
MT - Din it-traduzzjoni ġiet ipprovduta miċ-Ċentru tat-Traduzzjoni għall-Korpi tal-Unjoni Ewropea.
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SL - Prevod je zagotovil Prevajalski center za organe Evropske unije.
SV - Den här översättningen har utförts av Översättningscentrum för Europeiska unionens organ.
|22/08/2018||ESMA70-151-1693||Response form CP on the Clearing Obligation under EMIR (no. 6)||Post Trading||Reference||DOCX