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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
13/09/2017 ESMA43-318-1079 Warning- Unauthorised use of ESMA’s identity and logo , Reference PDF
241.2 KB
28/02/2018 ESMA PARIS Visitor Handbook Reference PDF
2.39 MB
03/04/2017 ESMA70-145-63 Validation table for reporting under the revised technical standards Reference XLSX
55.98 KB
27/05/2019 ESMA70-145-1397 TRs IC_templates , Reference XLS
80 KB
15/06/2018 2016-1521 Annex 1 Transaction reporting validation rules Reference XLSX
536.07 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.

04/04/2016 2016/228 ToR PTSC Reference PDF
147.27 KB
22/07/2016 ETCM Third-country markets considered as equivalent to a regulated market under EMIR Reference PDF
88.12 KB
12/07/2013 2013/925 The Clearing Obligation under EMIR Consultation Paper PDF
773.26 KB

The European Securities and Markets Authority (ESMA) is publishing this discussion paper in order to seek stakeholders’ views on the preparation of the regulatory technical standards ESMA is required to draft under Article 5(2) “Clearing Obligation Procedure” of the Regulation (EU) No 648/2012 of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). The input from stakeholders will help ESMA in the development of the relevant technical standards to be drafted and submitted to the European Commission for endorsement in the form of Commission Regulations, i.e. a legally binding instrument directly applicable in all Member States of the European Union. One essential element in the development of draft technical standards is the analysis of the costs and benefits that those legal provisions will imply. Input in this respect and any supportive data will be highly appreciated and kept confidential where required. Please respond to the consultation using the response template. The closing date for responses is 12 September 2013.

06/05/2020 ESMA41-140-79 Technical standards , Reference XLSX
119.1 KB
03/04/2019 ESMA65-8-6561 Technical Guidance for Settlement Internalisers – Report Validation Rules (CSDR Article 9) Reference PDF
1.61 MB
19/12/2016 2016/1672 Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR Consultation Paper PDF
709.68 KB

Reasons for publication

On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a delegated act.

Contents

The present report contains nine sections. Section 1 refers to the Executive Summary of the report. Section 2 explains the background to our proposals. Section 3 outlines the ESMA’s expected costs. Section 4 establishes the general approach for the determination of fees under EMIR and SFTR. Section 5 explains how ESMA will manage surpluses and deficits under EMIR and SFTR. Section 6 points out the rationale and computation of TRs fees for registration and extension of registration under SFTR. Sections 7 and 8 present the supervision fees under EMIR and SFTR and recognition fees under SFTR. Section 9 refers to the conditions of payment and reimbursement and, finally, Section 10 addresses the instances where delegation to NCAs takes place. Annex I contains the summary of the questions posed by ESMA and Annex II includes the Commission’s mandate to ESMA.

The amendments to fees under EMIR that are consulted in this document are required in order to ensure level –playing field with the ESMA’s fees to TRs under SFTR.

Next Steps

ESMA will consider the feedback it receives to this consultation in Q1 2017 and expects to publish and submit a final report of the technical advice to the European Commission for endorsement by end of Q1/beginning of Q2 of 2017.

09/12/2019 ESMA70-151-2820 Supervisory measures and Penalties under Articles 4, 9, 10 and 11 of EMIR   , Report PDF
819.71 KB
09/01/2020 ESMA22-106-1942 Strategic Orientation 2020-22 , Report PDF
325.47 KB
defr
26/10/2016 2016/1525 Stakeholder meeting procedure Reference PDF
308.52 KB
06/06/2016 MoU for USA Signed MoU for TC-CCPs for USA Reference PDF
162.79 KB
07/01/2016 MoU for Switzerland Signed MoU for Switzerland Reference PDF
169.92 KB
22/03/2016 MoU for South Korea Signed MoU for South Korea Reference PDF
151.46 KB
26/01/2016 MoU for South Africa Signed MoU for South Africa (FSB) Reference PDF
175.99 KB
07/01/2016 MoU for Quebec, Ontario, Manitoba - Canada Signed MoU for Quebec, Ontario, Manitoba- Canada Reference PDF
5.7 MB

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