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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|25/04/2017||ESMA22-106-196||Advice in response to JC Discussion Paper on the Use of Big Data by Financial Institutions||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|20/12/2013||2013/SMSG/017||Advice on Consultation Paper – Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Un-ion and non-evasion of provisions of EMIR||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|20/12/2013||2013/SMSG/018||Advice on Discussion Paper – The Clearing Obligation under EMIR||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|28/10/2011||2011/SMSG/13||Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|01/12/2011||2011/SMSG/18||Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|28/02/2012||2012/SMSG/12||Advice on Guidelines on certain aspects of the MiFID compliance function requirements||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|28/02/2012||2012/SMSG/11||Advice on Guidelines on certain aspects of the MiFID suitability requirements||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|18/09/2015||2015/SMSG/026||Advice on Proxy advisors||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|11/11/2015||ESMA/2015/SMSG/031||Advice on sound remuneration under UCITS and AIFMD||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|17/05/2011||2011/BS/123||Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group||Board of Supervisors, Securities and Markets Stakeholder Group||Decision||PDF
|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.
|12/07/2021||ESMA41-356-187||Decision- DTCC Derivatives Repository||Board of Supervisors, Trade Repositories||Decision||PDF
|28/01/2015||2014/SMSG/002||Decision- Rules of procedure of the Securities and Markets Stakeholder Group||Securities and Markets Stakeholder Group||Decision||PDF
|23/09/2021||ESMA41-356-233||Decision- UnaVista Limited||Trade Repositories||Decision||PDF
|28/10/2020||ESMA70-155-11072||ESMA decision renewal of 16 September 2020 to lower the reporting thresholds of net short positions under Art.28 of the SSR||Trading||Decision||PDF
|01/10/2019||ESMA63-313-528||Financial Regulation of the European Securities and Markets Authority||Management Board, Procurement||Decision||PDF
|20/12/2019||SMSG ESMA20-06-2053||Joint position paper from the ESA stakeholder groups on the ESA review||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|02/02/2012||2012/SMSG/6||Letter regarding deadlines for the submission of ESMA’s technical standards||Securities and Markets Stakeholder Group||SMSG Advice||PDF
|A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.|
|05/01/2022||PROC/2022/02||Negotiated procedure for «Performance of EMAS registration audits» – Deadline for expression of interest: 24/01/2022 – 11:59 a.m (PROC/2022/02)||Procurement||ONGOING Procedure||PDF
|20/01/2022||PROC/2021/12||Open procurement procedure – ICT Consultancy – DEADLINE 7/03/2022 – 23:59||Procurement||ONGOING Procedure||PDF
This public procurement procedure is for “ ICT Consultancy”:
ESMA strongly advises registering and subscribing to ensure that no information related to the tender procedure is missed.