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Trade Repositories

Sheppard Mullin Richter & Hampton LLP

European Securities Watchdog Fine Highlights Importance of Data Integrity and Regulatory Access

The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, recently announced that it fined UnaVista Limited, a UK-based trade repository, €238,500 ($280,000) for eight breaches of the...more

Hogan Lovells

Securities and markets regulatory news, February 2021 # 2

Hogan Lovells on

Brexit: Draft Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 - A draft version of the Recognised Auction Platforms (Amendment and Miscellaneous Provisions) Regulations 2021 has been...more

Hogan Lovells

Securities and markets regulatory news, December 2020 # 2

Hogan Lovells on

Post-Brexit transition period: migrating to FCA FIRDS and FITRS - The UK Financial Conduct Authority (FCA) has published a press release announcing details of the cutover plan for firms migrating to the FCA Financial...more

Hogan Lovells

Securities and markets regulatory news, September 2020 # 4

Hogan Lovells on

Brexit: FCA opens registration applications for UK securitisation repositories - The UK Financial Conduct Authority (FCA) has published a new webpage for securitisation repositories under the Securitisation Regulation that...more

Hogan Lovells

Securities and markets regulatory news, June 2020 #4

Hogan Lovells on

Recent regulatory developments of interest to financial institutions and markets. Includes updates relating to Brexit, EMIR and more....more

Hogan Lovells

Securities and markets regulatory news, March 2020 #3

Hogan Lovells on

A draft version of the Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment etc and Transitional Provision) (EU Exit) Regulations 2020 has been published, together with an explanatory...more

Jones Day

Does the EU's SFTR Mandatory Reporting Apply to Your Margin Lending Transactions? - The mandatory reporting of securities...

Jones Day on

The European Union's new reporting requirement under Regulation (EU) 2015/2365 of November 25, 2015—known as the Securities Financing Transactions Regulation ("SFTR")—will go into effect beginning on April 11, 2020, for...more

A&O Shearman

Draft UK Legislation to Onshore EMIR 2.2 Published for Feedback

A&O Shearman on

HM Treasury has published for feedback a draft statutory instrument to implement the revised provisions for CCPs in the European Market Infrastructure Regulation (known as EMIR 2.2.) into U.K. law once the Brexit...more

A&O Shearman

Proposed EU Guidelines for Securitization Repositories Assessing Data Completeness and Consistency

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on proposed guidelines on securitization repository data completeness and consistency thresholds. The proposed guidelines would apply to EU...more

A&O Shearman

European Securities and Markets Authority Publishes Follow-Up Report on Credit Rating Agency and Trade Repository Fees

A&O Shearman on

The European Securities and Markets Authority has published a follow-up report on its 2018 Thematic Report on the fees charged by credit rating agencies and trade repositories. ESMA directly supervises all CRAs and trade...more

A&O Shearman

Proposed EU Procedural Rules for Penalties Imposed on Third-Country CCPs, Trade Repositories and Credit Rating Agencies

A&O Shearman on

The European Securities and Markets Authority has launched a consultation on proposed procedural rules for penalties imposed on third-country CCPs, trade repositories and credit rating agencies. Responses are invited by...more

A&O Shearman

International Bodies Issue Report on Governance Arrangements for Derivatives Data

A&O Shearman on

The Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions have published a joint report on governance arrangements for critical data elements for over-the-counter...more

A&O Shearman

Financial Stability Board Publishes Governance Arrangements for Unique Product Identifier

A&O Shearman on

The Financial Stability Board has published a report on governance arrangements for the Unique Product Identifier, a globally harmonized code identifying over-the-counter derivatives products reported to trade repositories....more

A&O Shearman

European Supervisory Authorities Publish Joint 2020 Work Programme

A&O Shearman on

The Joint Committee of the European Supervisory Authorities has published its 2020 work program, outlining revisions to the Joint Committee’s scope of work and the matters it will focus on in 2020. The Joint Committee...more

A&O Shearman

European Securities and Markets Authority Publishes 2020 Work Priorities

A&O Shearman on

The European Securities and Markets Authority has published its Annual Work Programme for 2020. The Work Programme sets out ESMA’s focus areas for 2020 and provides details of expected outputs within each of the areas. In...more

A&O Shearman

UK Draft Legislation for Post-Brexit EMIR 2.1 Published

A&O Shearman on

A draft U.K. statutory instrument to onshore into U.K. law, post-Brexit, the revised European Market Infrastructure Regulation (known as EMIR Refit) has been published - The Over the Counter Derivatives, Central...more

A&O Shearman

EMIR Refit Regulation Published

A&O Shearman on

The Regulation amending the European Market Infrastructure Regulation, known as EMIR Refit or EMIR 2.1, has been published in the Official Journal of the European Union....more

A&O Shearman

Proposed EU Guidelines for Reporting of Securities Financing Transactions

A&O Shearman on

The European Securities and Markets Authority has published a consultation paper proposing guidelines for reporting of securities financing transactions under the Securities Financing Transactions Regulation. SFTs involve the...more

Dechert LLP

Investment Funds Update – Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on

MiFID II – ESMA issues statement regarding the impact of a no-deal Brexit on the impact of the "share trading" obligation under Article 23 of MiFIR - ESMA issued a statement on 19 March 2019 regarding the impact of Brexit...more

Orrick - Finance 20/20

ESMA Publishes 2019 Work Program for Credit Rating Agencies, Trade Repositories and Third-Country CCPs and CSDs

On February 19, EMSA published its 2018 annual report and 2019 work program relating to its supervision of credit rating agencies (“CRAs“), trade repositories (“TRs“) and its monitoring of third-country central clearing...more

A&O Shearman

Further UK Legislation in Preparation for Brexit Comes Into Force

A&O Shearman on

Three pieces of U.K. legislation to onshore EU laws in preparation for Brexit have been made. These are: 1. The Trade Repositories (Amendment and Transitional Provision) (EU Exit) Regulations 2018 (SI 2018/1318)....more

A&O Shearman

Statement by EU Supervisory Authority Confirms No EU Transitional Measures For UK Credit Rating Agencies and Trade Repositories on...

A&O Shearman on

The European Securities and Markets Authority has issued a public statement urging customers of credit rating agencies and trade repositories to prepare for a "no deal" Brexit. The European Market Infrastructure Regulation...more

Orrick - Finance 20/20

ESMA Publishes Statement on No-Deal Brexit Contingency Plans of CRAs and Trade Repositories

Orrick - Finance 20/20 on

ESMA published a statement on the contingency plans of credit rating agencies (“CRAs“) and trade repositories (“TRs“) in the context of Brexit (ESMA80-187-149) on November 9....more

A&O Shearman

UK Draft Legislation to Onshore the European Market Infrastructure Regulation Published

A&O Shearman on

HM Treasury has published in draft format the Over the Counter Derivatives, Central Counterparties and Trade Repositories (Amendment, etc., and Transitional Provision) (EU Exit) Regulations 2018 – the U.K.'s draft statutory...more

A&O Shearman

UK Regulator Provides Information on Brexit Process for Credit Rating Agencies, Trade Repositories and Data Reporting Services...

A&O Shearman on

The Financial Conduct Authority has published three press releases announcing how entities can register with it as a credit rating agency, a trade repository or apply for temporary authorization as a data reporting services...more

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