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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
29/06/2006 06-120b CESR’s guidelines to simplify the notification procedure of UCITS CESR Document PDF
206.85 KB
24/06/2004 04-225b CESR’s recommendations for the consistent implementation of the European Commission’s Regulation on Prospectuses nº 809/2004 CESR Document PDF
712.97 KB
10/02/2005 05-054b CESR’s recommendations for the consistent implementation of the European Commission’s Regulation on Prospectuses nº 809/2004 CESR Document PDF
288.29 KB
20/12/2010 CESR/10-1321 CESR’s template for the Key Investor Information document CESR Document PDF
108.44 KB
19/12/2011 2011/BS/229 Decision of the European Securities and Markets Authority establishing its Review Panel , , Decision PDF
35.86 KB
This decision establishes the Review Panel of ESMA and sets out its mandate.
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 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.

12/07/2021 ESMA41-356-187 Decision- DTCC Derivatives Repository , Decision PDF
1.13 MB
23/09/2021 ESMA41-356-233 Decision- UnaVista Limited Decision PDF
996.23 KB
23/06/2009 09-447 Feedback document to the consultations on the “draft ESCB-CESR recommendations for securities clearing and settlement systems and central counterparties in the EU” and the “draft recommendations for central counterparties as amended for OTC derivatives” b CESR Document PDF
151.49 KB
08/01/2003 02-287b Feedback Statement on CESR's advice on Level 2 Implementing measures for the proposed Market Abuse Directive CESR Document PDF
245.84 KB
CESR publishes today the Feedback Statement to its technical advice, submitted to the European Commission on Tuesday 31st December 2002, on level 2 implementing measures in connection with certain aspects of the Directive on Insider Dealing and Market Manipulation (Market Abuse).
08/10/2010 10-512 Feedback statement on the consultation on guidance to report transactions on OTC derivative instruments and subsequent CESR decisions CESR Document PDF
911.6 KB
02/04/2003 03-074 Feedback statement on the consultation on the statement of principles on the enforcement of standards of financial information CESR Document PDF
92.17 KB
During the seventh meeting of CESR held in Paris on 21 March 2003, the first CESR standard on Financial Information: Enforcement of standards on financial information in Europe (Ref. CESR/03-073) was approved. The standard is being published today along with a feedback statement summarising the responses received during the consultation process (Ref. CESR/03-074). The standard represents a significant part of CESR"s contribution to the task of developing and implementing a common approach to the enforcement of International Financial Reporting Standards (IFRS) in Europe. The Standard No. 1 can be viewed under the heading "Standards".
29/01/2010 09-987 Feedback statement on the Consultation on “Classification and identification of OTC derivative instruments for the purpose of the exchange of transaction reports amongst CESR Members” CESR Document PDF
215.84 KB
28/06/2005 CESR-CFTC Feedback Feedback Statement on the Proposed Work Program to Facilitate Trans-Atlantic Derivatives Business CESR Document PDF
70.23 KB
20/12/2010 10-1398 Feedback statement- A guide to clear language and layout for the Key Investor Information document (KII) CESR Document PDF
103.3 KB
21/02/2008 08-066 Feedback statement- Call for evidence on the possible CESR level 3 work on the Transparency Directive CESR Document PDF
81.12 KB
03/02/2005 04-701 Feedback statement- CESR consultation on draft guidelines for supervisors regarding the transitional provisions of the amending UCITS Directives (2001/107/EC and 2001/108/EC) CESR Document PDF
89.05 KB
29/05/2007 07-319 Feedback statement- CESR Level 3 Guidelines on MiFID Transaction Reporting CESR Document PDF
80.39 KB
29/05/2007 07-316 Feedback statement- CESR Level 3 Recommendations on Inducements under MiFID CESR Document PDF
151.26 KB
02/08/2006 06-287b Feedback statement- CESR Mediation Mechanism CESR Document PDF
172.93 KB