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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
28/01/2022 ESMA74-362-893 QAs on SFTR data reporting Post Trading, Securities Financing Transactions, Trade Repositories Q&A PDF
398.17 KB
03/11/2020 ESMA71-99-1423 QA Fast Track Peer Review- Wirecard Corporate Disclosure, Guidelines and Technical standards, Supervisory convergence Q&A PDF
248.14 KB
28/02/2022 ESMA70-1861941480-52 Q&A on EMIR implementation Post Trading, Trade Repositories Q&A PDF
1.46 MB
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
1.17 MB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Trade Repositories Decision PDF
996.23 KB
12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository Board of Supervisors, Trade Repositories Decision PDF
1.13 MB
20/05/2022 ESMA34-43-392 Q&A on the application of the UCITS Directive Fund Management Q&A PDF
749.77 KB
17/12/2021 ESMA34-32-352 Q&A on the Application of the AIFMD Fund Management, Supervisory convergence Q&A PDF
691.07 KB
01/04/2022 ESMA32-51-370 Q&A on ESMA Guidelines on Alternative Performance Measures Corporate Disclosure, Corporate Information Q&A PDF
987.02 KB
09/11/2020 ESMA31-67-127 Question and answers on Transparency Directive (TD) Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency Q&A PDF
352.79 KB
11/04/2019 ESMA31-62-780 Q&A on Prospectus Related Topics Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence Q&A PDF
957.9 KB
27/07/2021 ESMA31-62-1258 Q&As on the Prospectus Regulation Prospectus Q&A PDF
814.87 KB
31/05/2016 2016/774 Q&A on the Application of the EuSEF and EuVECA Regulations Fund Management Q&A PDF
212.93 KB
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
62.47 KB

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.
16/12/2016 2016/1669 2016-1669 Q&A on AIFMD Fund Management Q&A PDF
436.68 KB
21/11/2016 2016/1586 Questions and Answers on UCITS Directive Fund Management Q&A PDF
454.07 KB
21/07/2016 2016/1131 BoS Decision on Fitch Ratings Limited 21 July 2016 Credit Rating Agencies, Press Releases Decision PDF
108.21 KB
21/02/2012 2012/113 Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 Fund Management Q&A PDF
83.79 KB		 The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements.