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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|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
|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
|11/02/2020||ESMA22-328-356||Decision of the Board of Supervisors- Election of Management Board Members||Board of Supervisors, Management Board||Decision||PDF
|19/12/2011||2011/BS/229||Decision of the European Securities and Markets Authority establishing its Review Panel||Board of Supervisors, Corporate Information, Supervisory convergence||Decision||PDF
|This decision establishes the Review Panel of ESMA and sets out its mandate.|
|17/10/2019||ESMA74-362-111||Decision on delegation to the Chair the adoption of changes to technical instructions on IT and data matters||Board of Supervisors||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
|23/09/2021||ESMA41-356-233||Decision- UnaVista Limited||Trade Repositories||Decision||PDF
|11/10/2018||ESMA70-155-5775||Delegation third country TV post trade transparency||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|06/11/2020||ESMA70-155-11210||Delegation third country TV post trade transparency||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|11/10/2018||ESMA70-155-5905||Delegation_from_the_BoardofSupervisors_opinions on third country TV_PositionLimits||Board of Supervisors, MiFID - Secondary Markets||Decision||PDF
|27/01/2022||JC 2022 02||ESAs welcome ESRB Recommendation on a pan-European systemic cyber incident coordination framework for relevant authorities||Innovation and Products, Joint Committee||Statement||PDF
|13/11/2017||ESMA50-157-828||ESMA alerts firms involved in Initial Coin Offerings (ICOs) to the need to meet relevant regulatory requirements||Innovation and Products, Warnings and publications for investors||Statement||PDF
|13/11/2017||ESMA50-157-829||ESMA alerts investors to the high risks of Initial Coin Offerings (ICOs)||Innovation and Products, Warnings and publications for investors||Statement||PDF
|21/05/2021||ESMA71-99-1677||ESMA appoints Derville Rowland to chair the Investment Management Standing Committee||Board of Supervisors, Corporate Information, Fund Management||Statement||PDF
|24/03/2021||ESMA71-99-1608||ESMA appoints new chair of Market Integrity Standing Committee||Board of Supervisors, Management Board, Market Integrity, Press Releases||Statement||PDF
|23/05/2018||ESMA71-99-979||ESMA appoints new chair to its Committee of Economic and Markets’ Analysis||Innovation and Products, Risk Analysis & Economics - Markets Infrastructure Investors||Statement||PDF
|30/09/2016||2016/1408||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection||Statement||PDF
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas. The appointments are for a period of two years and commence with immediate effect.
|29/09/2017||ESMA71-99-602||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Corporate Disclosure, Corporate Finance, Corporate Information, Innovation and Products, Market Integrity, MiFID - Secondary Markets, Post Trading||Statement||PDF
|28/01/2021||ESMA71-99-1544||ESMA appoints new IPISC and CNS Chairs||Board of Supervisors, Corporate Information, MiFID - Investor Protection, Sustainable finance||Statement||PDF