REFINE YOUR SEARCH
Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|06/09/2010||10-918||Feedback statement- CESR Technical Advice to the European Commission in the context of the MiFID Review –Investor Protection and Intermediaries||CESR Archive||CESR Document||PDF
|30/08/2010||10-944||CESR’s Guidance on the enforcement practices and activities to be conducted under Article 21.3(a) of the Regulation||CESR Archive||CESR Document||PDF
|30/08/2010||10-945||CESR’s Guidance on common standards for assessment of compliance of credit rating methodologies with the requirements set out in Article 8.3||CESR Archive||CESR Document||PDF
|19/05/2010||10/049||Guidelines- Common definition of European money market funds||CESR Archive||CESR Document||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.
|24/09/2008||3L3 19/09 M&A||Guidelines for the prudential assessment of Mergers and Acquisitions- slides presented at the open hearing on 19 September 2008||CESR Archive||CESR Document||PDF
|30/04/2008||3L3 IA FS||Feedback statement- Impact assessment guidelines for EU Lamfalussy level 3 Committees||CESR Archive||CESR Document||PDF
|30/04/2008||3L3 IA guidelines||Impact assessment guidelines for EU Lamfalussy level 3 committees||CESR Archive||CESR Document||PDF
|28/06/2005||CESR-CFTC Feedback||Feedback Statement on the Proposed Work Program to Facilitate Trans-Atlantic Derivatives Business||CESR Archive||CESR Document||PDF
|20/12/2010||CESR/10-1321||CESR’s template for the Key Investor Information document||CESR Archive||CESR Document||PDF
|11/06/2020||ESMA70-155-10189||ESMA Decision- renewal Article 28 SSR reporting threshold||COVID-19, Market Integrity, Short Selling||Decision||PDF
|17/09/2020||ESMA70-155-11072||ESMA Decision- renewal Article 28 SSR reporting threshold- September 2020||COVID-19, Market Integrity, Short Selling||Decision||PDF
|16/03/2020||ESMA70-155-9546||ESMA decision on thresholds for reporting net short positions||COVID-19, Market Integrity, Short Selling||Decision||PDF
|26/03/2020||ESMA70-155-9546||ESMA Decision Article 28 SSR_reporting threshold||Market Integrity, Short Selling||Decision||PDF