ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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.

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 Reference PDF
57.91 KB
30/09/2016 2016/1409 Reply Form to CP on Draft RTS and ITS under SFTR and amendments to related EMIR RTS Reference DOCX
763.21 KB
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 Reference DOCX
758.01 KB
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 Reference DOCX
756.89 KB
05/02/2016 2016/234 ESMA’s supervision of credit rating agencies and trade repositories- 2015 annual report and 2016 work plan. , Report PDF
2.08 MB

The European Securities and Markets Authority’s (ESMA) annual report and work programme has been prepared according to Article 21 of Regulation 1060/2009 on credit rating agencies as amended (the CRA Regulation) and Article 85 of Regulation 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR). It highlights the direct supervisory activities carried out by ESMA during 2015 regarding credit rating agencies (CRAs) and trade repositories (TRs) and outlines ESMA’s main priorities in these areas for 2016.

ESMA adopts a risk-based approach to the supervision of CRAs and TRs in accordance with its overall objectives of promoting financial stability and orderly markets and enhancing investor protection. This risk-based approach requires the analysis of information from a variety of sources and the application of multiple supervisory tools including day-to-day supervision, cycle of engagement meetings with supervised entities, on-site inspections and dedicated investigations.

In order to build on the expertise that ESMA has developed through its supervision of CRAs and TRs, ESMA created a single Supervision Department in November 2015. ESMA intends to draw on the best practices identified from the supervision of both types of entity to further enhance its supervisory effectiveness in future.

04/11/2015 EMIR VT EMIR validation table Reference XLSX
26.48 KB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Report PDF
602.75 KB
17/10/2019 ESMA42-111-4895 EMIR data quality peer review , Report PDF
862.01 KB
03/04/2017 ESMA70-145-63 Validation table for reporting under the revised technical standards Reference XLSX
57.77 KB
12/11/2019 ESMA70-148-523 List of Central Counterparties authorised to offer services and activities in the Union Reference PDF
352.96 KB
13/06/2018 ESMA70-151-1400 Report on supervisory measures and penalties under EMIR Report PDF
605.66 KB
22/08/2018 ESMA70-151-1693 Response form CP on the Clearing Obligation under EMIR (no. 6) Reference DOCX
769.06 KB
29/05/2019 ESMA70-151-2383 Response form- CP on EMIR_2_2_CCP fees Reference DOCX
752.36 KB
17/11/2017 ESMA70-151-819a Response form EMIR consultation on position calculations Reference DOCX
771.37 KB
26/07/2019 ESMA70-152-348 List of third-country CCPs recognised to offer services and activities in the Union Reference PDF
216.9 KB
04/10/2019 ESMA70-156-1759 Response Form- Alignment of MiFIR with the changes introduced by EMIR Refit , Reference DOCX
748.22 KB
11/12/2018 ESMA70-708036281-176 Public Register for the Clearing Obligation under EMIR Reference PDF
539.99 KB
31/03/2017 ESMA70-708036281-82 Final Report on Technical standards under SFTR and certain amendments to EMIR Report PDF
3.61 MB
05/01/2017 ESMA71-1154262120-155 Methodology for Mandatory Peer Reviews in relation to CCPs’ authorisation and supervision under EMIR , Reference PDF
334.98 KB