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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
05/11/2015 2015/1628 Consultation Paper on indirect clearing under EMIR and MiFIR Consultation Paper PDF
488.22 KB
05/11/2015 2015/1628/R Response form to CP on indirect clearing Consultation Paper DOCX
749.61 KB
11/12/2015 2015/1866 Consultation Paper on access, aggregation and comparison of TR data Consultation Paper PDF
330.99 KB
14/12/2015 2015/1867 Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts Consultation Paper PDF
227.6 KB
14/12/2015 2015/1867R Response Form to CP on review of Article 26 of RTS 153-2013 Consultation Paper DOCX
749.43 KB
11/05/2015 2015/807. Consultation Paper No 4 on the Clearing Obligation under EMIR Consultation Paper PDF
1.41 MB
15/06/2015 2015/935 ESMA Strategic Orientation 2016-2020 Reference PDF
284.05 KB
25/02/2016 2016 Calendar 2016 Calendar of the Chair and Executive Director of ESMA Reference PDF
255.52 KB
15/06/2018 2016-1521 Annex 1 Transaction reporting validation rules Reference XLSX
536.07 KB
13/10/2016 2016-IFRS IFRS Foundation and ESMA statement of protocols for cooperation on International Financial Reporting Standards , , Reference PDF
209.65 KB
15/07/2016 2016/1092 ESMA Staff Stakeholder contacts in the Second Quarter 2016 Reference PDF
247.63 KB
13/07/2016 2016/1125 Consultation Paper on the clearing obligation for financial counterparties with a limited volume of activity Consultation Paper PDF
738.84 KB
30/09/2016 2016/1409 Draft RTS and ITS under SFTR and amendments to related EMIR RTS , Consultation Paper PDF
5.63 MB

The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations

Contents

Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions.

Next Steps

ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017.

30/09/2016 2016/1409 SFTR Tables , Reference XLSX
45.84 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU , Report PDF
1.94 MB
11/10/2016 2016/1419 ESMA 2017 Work Programme , Reference PDF
559.05 KB
03/11/2016 2016/1501 ESMA Staff Stakeholder contacts in the Third Quarter 2016 Reference PDF
251.14 KB
26/10/2016 2016/1525 Stakeholder meeting procedure Reference PDF
308.52 KB
15/12/2016 2016/1661 Consultation Paper- Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR Consultation Paper PDF
740.22 KB
15/12/2016 2016/1661 RF Reply Form to CP- Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR Reference DOCX
758.01 KB