Consultation on draft RTS and ITS under SFTR and amendments to related EMIR RTS

Consultation on draft RTS and ITS under SFTR and amendments to related EMIR RTS

from 30 September 2016 to 30 November 2016


Responding to this paper

The European Securities and Markets Authority (ESMA) invites responses to the specific questions listed in Draft RTS and ITS under SFTR and amendments to related EMIR RTS, published on the ESMA website.


Please note that, in order to facilitate the analysis of the large number of responses expected, you are requested to use this file to send your response to ESMA so as to allow us to process it properly. Therefore, ESMA will only be able to consider responses which follow the instructions described below:

  • use this form and send your responses in Word format (pdf documents will not be considered except for annexes);
  • do not remove the tags of type < ESMA_QUESTION_SFTR_1> - i.e. the response to one question has to be framed by the 2 tags corresponding to the question; and
  • if you do not have a response to a question, do not delete it and leave the text “TYPE YOUR TEXT HERE” between the tags.

Responses are most helpful:

  • if they respond to the question stated;
  • contain a clear rationale, including on any related costs and benefits; and
  • describe any alternatives that ESMA should consider

SFTR Tables

Where you provide specific feedback on the reporting fields for securities financing transactions, this should be included in the Excel file marked SFTR Tables. Please use the naming convention as outlined below.

Naming protocol

In order to facilitate the handling of stakeholders responses please save your document using the following format:


E.g. if the respondent were XXXX, the name of the reply form would be:




Responses must reach us by 30 November 2016.

All contributions should be submitted online at under the heading ‘Your input/Consultations’.


ESMA has found a clerical mistake in the Consultation paper published on 30 September 2016. In particular, there are some instances in the explanatory text, in particular on pages 85, 87, 88, 92 and 96, where the deadline for reporting of the collateral component of an SFT is erroneously indicated as taking place on value date + 1. The timeline for reporting of the details of the collateral component of an SFT is value date, as included in Article 5 of the draft technical standards under Article 4(10) of SFTR on page 254. In similar way the reporting of availability for reuse, mentioned on page 108, refers to value date.

Documents available for this Consultation
30/09/20162016/1409Draft RTS and ITS under SFTR and amendments to related EMIR RTS
30/09/20162016/1409Reply Form to CP on Draft RTS and ITS under SFTR and amendments to related EMIR RTS
30/09/20162016/1409SFTR Tables


Activity Institution Download
Certain Private Banks
Asset Management EFAMA
Asset Management The Investment Association
Asset Management BVI
Asset Management ICI Global
Asset Management Amundi
Asset Management Union Asset Management Holding AG
Asset Management ASSOGESTIONI
Banking Intesa Sanpaolo SpA
Banking German Banking Industry Committee
Banking Österreichischer Sparkassenverband
Banking British Bankers' Association
Banking DACSI
Banking Deutsche Bank
Investment Services State Street Global Markets
Issuers European Association of Corporate Treasurers
Exchanges and Trading Systems Deutsche Börse Group (DBG)
Others ISLA
Others The Bank of New York Mellon
Others Austrian Federal Economic Chamber, Division Bank and Insurance
Others Abide Financial
Others Loan Market Association
Others ISO TC68 AG2 Standard Advisory Group
Others Nordic Securities Association
Others European Federation of Energy Traders (EFET)
Others Global Legal Entity Identifier Foundation (GLEIF)
Others AFME
Others AFME
Regulated markets, exchanges & trading systems London Stock Exchange Group
Central Securities Depository (CSD) Euroclear S.A.
Central Securities Depository (CSD) European Central Securities Depositories Association (ECSDA)
Trade Repository CME Group
Trade Repository REGIS-TR
Trade Repository KDPW S.A.
Fintech S.W.I.F.T.