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

Read responses
Type of event
Post Trading
Securities Financing Transactions

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.

Activity Institution Download
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Others Austrian Federal Economic Chamber, Division Bank and Insurance
  • 20558
Others Loan Market Association
  • 20565
Others ISO TC68 AG2 Standard Advisory Group
  • 20567
Banking German Banking Industry Committee
  • 20568
  • 20569
Others Nordic Securities Association
  • 20571
Asset Management Amundi
  • 20573
Trade Repository KDPW S.A.
  • 20578
Fintech S.W.I.F.T.
  • 20579
Asset Management Union Asset Management Holding AG
  • 20581
Banking DACSI
  • 20580
  • 20584
Others Global Legal Entity Identifier Foundation (GLEIF)
  • 20585
Central Securities Depository (CSD) European Central Securities Depositories Association (ECSDA)
  • 20590
Regulated markets, exchanges & trading systems London Stock Exchange Group
  • 20594
Others ISLA
  • 20597
  • 20598
Asset Management EFAMA
  • 20599
Asset Management The Investment Association
  • 20600
Others Abide Financial
  • 20601
Certain Private Banks
  • 20602
Banking Intesa Sanpaolo SpA
  • 20603
Trade Repository REGIS-TR
  • 20604
Central Securities Depository (CSD) Euroclear S.A.
  • 20608
Banking British Bankers' Association
  • 20596
  • 20610
  • 20613
Exchanges and Trading Systems Deutsche Börse Group (DBG)
  • 20614
  • 20615
Others European Federation of Energy Traders (EFET)
  • 20612
Asset Management ASSOGESTIONI
  • 20617
Others AFME
  • 20618
  • 20619
Banking Deutsche Bank
  • 20622
  • 20623
Others AFME
  • 20624
  • 20625
Trade Repository CME Group
  • 20627
Others The Bank of New York Mellon
  • 20629
Asset Management BVI
  • 20631
Issuers European Association of Corporate Treasurers
  • 20632
Asset Management ICI Global
  • 20633
Investment Services State Street Global Markets
  • 20634
Banking Österreichischer Sparkassenverband
  • 20771