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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
19/12/2016 2016/1672 Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR Consultation Paper PDF
709.68 KB

Reasons for publication

On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a delegated act.

Contents

The present report contains nine sections. Section 1 refers to the Executive Summary of the report. Section 2 explains the background to our proposals. Section 3 outlines the ESMA’s expected costs. Section 4 establishes the general approach for the determination of fees under EMIR and SFTR. Section 5 explains how ESMA will manage surpluses and deficits under EMIR and SFTR. Section 6 points out the rationale and computation of TRs fees for registration and extension of registration under SFTR. Sections 7 and 8 present the supervision fees under EMIR and SFTR and recognition fees under SFTR. Section 9 refers to the conditions of payment and reimbursement and, finally, Section 10 addresses the instances where delegation to NCAs takes place. Annex I contains the summary of the questions posed by ESMA and Annex II includes the Commission’s mandate to ESMA.

The amendments to fees under EMIR that are consulted in this document are required in order to ensure level –playing field with the ESMA’s fees to TRs under SFTR.

Next Steps

ESMA will consider the feedback it receives to this consultation in Q1 2017 and expects to publish and submit a final report of the technical advice to the European Commission for endorsement by end of Q1/beginning of Q2 of 2017.

19/12/2016 2016/1672 reply form Reply Form to Technical Advice on fees for TRs under SFTR and on certain amendments of for fees under EMIR Reference DOCX
756.89 KB
05/01/2017 ESMA71-1154262120-155 Methodology for Mandatory Peer Reviews in relation to CCPs’ authorisation and supervision under EMIR , Reference PDF
334.98 KB
31/01/2017 ESMA70-708036281-17 Consultation Paper on ESMA’s Guidelines on transfer of data between TRs Consultation Paper PDF
1003.51 KB
31/01/2017 ESMA70-708036281-88 Reply Form to CP on guidelines on TR portability Reference DOCX
769.54 KB
01/02/2017 ESMA70-708036281-65 Public Presentation- 2017 EU-wide CCP Stress Test Reference PDF
569.22 KB
01/02/2017 ESMA70-708036281-51 Methodological Framework to the 2017 CCP Stress Test Exercise Reference PDF
395.2 KB
20/03/2017 ESMA70-152-307 MoU on CCP supervision with Japanese regulators METI and MAFF Reference PDF
648.49 KB
20/03/2017 moudfsa MoU on CCP supervision with Dubai Financial Supervisory Authority Reference PDF
391.12 KB
20/03/2017 mourbi MoU on CCP supervision with Reserve Bank of India Reference PDF
400.32 KB
20/03/2017 mousca MoU on CCP supervision with the UAE SCA Reference PDF
369.2 KB
03/04/2017 ESMA70-145-63 Validation table for reporting under the revised technical standards Reference XLSX
55.98 KB
18/04/2017 MOU RBNZ ESMA MoU on CCP supervision with Reserve Bank and Financial Markets Authority of New Zealand Reference PDF
490.43 KB
01/06/2017 ESMA70-151-291 Consultation paper on guidelines on CCPs' conflict of interest management Consultation Paper PDF
344.94 KB
01/06/2017 ESMA70-708036281-72 CSDR relevant currencies indicators- template Reference XLS
283 KB
21/06/2017 ESMA70-393682164-34 Application Form for the Consultative Working Group of ESMA’s Post Trading Standing Committee Reference DOCX
36.91 KB
21/06/2017 ESMA70-393682164-33 Call for expressions of interest for the Consultative Working Group of ESMA's Post Trading Standing Committee Reference PDF
262.49 KB
06/07/2017 ESMA31-62-650 reply form Response form_Consultation Paper on scrutiny and approval Reference DOCX
768.87 KB