Central Counterparty Clearing

Fri 30 Sep, 2107

Expiration of an extension of relief from Transaction-Level Requirements for certain non-US SDs using personnel or agents located in the US to arrange, negotiate, or execute a swap – CFTC Letter No. 16-64 (extends CFTC Letter No. 15-48, which extended CFTC Letters No. 14-140, 1474, 14-01 and 13-71). Deadline to submit comments to the CFTC’s request for information pertaining to Project KISS.

Tue 01 Sep, 2020

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP: EUR 8 billion

Tue 31 Dec, 2019

Basel II – Banks are required to report through the new risk standards by the end of 2019.

Sun 01 Sep, 2019

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP:  EUR 0.75 trillion

Thu 09 May, 2019

Category 4 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Fri 21 Dec, 2018

Category 4 EMIR IRS Clearing obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Mon 01 Oct, 2018

Effective date for clearing by NFCs

Sat 01 Sep, 2018

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP: EUR 1.5 trillion 

Thu 16 Aug, 2018

Exemption from clearing for pension funds expires.

Fri 09 Feb, 2018

Category 3 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Wed 31 Jan, 2018

Expiration of relief to reporting counterparties clearing swaps through DCOs exempt from registration or CCPs provided relief from the requirement to register as a DCO. The reporting counterparties were granted relief from certain Part 45 reporting obligations. Relief was also granted pertaining to certain data field reporting requirements in Parts 43 and 45 (CFTC Letter No. 16-85)

Sun 31 Dec, 2017

European Commission to publish a legislative proposal on commodity trading firms and capital requirements by 31st of December 2017.

Sun 31 Dec, 2017

Expiration of an extension of relief to Eligible Affiliate Counterparties who do not claim the Inter Affiliate Exemption from the trade execution requirement (CFTC Letter No. 16-80) (previously No. 15-62).

Sun 31 Dec, 2017

Expiration of relief providing for the addition of Australia and Mexico to the list of jurisdictions eligible under the alternative compliance framework of Commission regulation 50.52(b)(4)(ii) used to satisfy the Outward-Facing Swaps Condition in the Inter-Affiliate Exemption (CFTC Letter No. 16-84).

Sun 31 Dec, 2017

US SEC Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) Compliance.

Fri 01 Dec, 2017

Expiration of relief from Parts 45 and 46 for swaps with non-US counterparties that are not guaranteed affiliates, or conduit affiliates, of a US person (CFTC Letter No. 16-79) (previously No. 15-61). Applies to CFTC-registered SDs and MSPs that are non-US persons established under the laws of Australia, Canada, the EU, Japan or Switzerland, and that are not part of an affiliated group in which the ultimate parent entity is a US: SD, MSP, bank, financial holding company or bank holding company.

Thu 30 Nov, 2017

Expiration of relief to Shanghai Clearing House permitting it to clear certain proprietary trades of US clearing members and their affiliates (CFTC Letter No. 16-56). Extension of relief to Shanghai Clearing House allowing it to continue to clear certain swaps subject to mandatory clearing in China for the proprietary trades of its clearing members that are US persons or affiliates of U.S. persons (CFTC Letter No. 17-26).

Wed 15 Nov, 2017

CFTC relief for swap execution facilities from certain audit trail requirements in Commission Regulation 37.205 related to post-trade allocation information (CFTC Letter No. 1568) expires.

Mon 06 Nov, 2017

Extension of relief to swap dealers from certain requirements of the U.S. final rule on margin requirements for uncleared swaps when transacting with counterparties subject to the corresponding EU rules expires (CFTC Letter No. 17-22).

Wed 01 Nov, 2017

Under the revised EMIR technical standards, reporting of EMIR eligible trades becomes applicable.

Tue 26 Sep, 2017

Expiration of relief from submitting certain specified information via New Form 102A (relief period begins September 29, 2016) (CFTC Letter No. 16-32).

Expiration of relief from submitting certain specified information regarding DCM volume threshold accounts via New Form 102B (relief period begins September 29, 2016) (CFTC Letter No. 16-32).

Fri 01 Sep, 2017

Phase-in application of initial margin for OTC-derivatives not cleared by a CCP:  EUR 2.25 trillion 

Fri 01 Sep, 2017

Expiration of an extension of the relief granted under Letter No. 16-03 and 16-33 for “French Reportable Swaps” and “Swiss Reportable Swaps” relating to the masking of counterparty identifying information (CFTC Letter No. 17-16).

Wed 16 Aug, 2017

Three Five year exemption for pension funds from clearing obligation ends (Delayed from 16 August 2015) (2015/1515)

Mon 14 Aug, 2017

Relief from the notice filing requirement under CFTC Regulation 150.4(c) relating to exemption from aggregation of positions (CFTC Letter No. 17-06) expires.

Wed 09 Aug, 2017

Category 2 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Mon 31 Jul, 2017

ESMA to release Q & A on the Packaged Retail and Insurance-based Investments Products Regulation.

Mon 24 Jul, 2017

Extended CFTC order designating the Global Markets Entity Identifier utility (formerly known as the DTCC-SWIFT utility) and other pre-Local Operating Units as acceptable suppliers of approved LEIs expires.

Fri 07 Jul, 2017

Deadline for comments to the CFTC’s proposed rule Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants.

Sat 01 Jul, 2017

European Securities and Market Authority to publish standards relating to trading obligations under MiFIR.

Fri 30 Jun, 2017

The EC decides whether to endorse the technical standards proposed for the Regulation on Financial Benchmarks by the European Securities and Markets Authority.

Tue 27 Jun, 2017

Relief to DCOs from the requirement to report continuation data on original swaps accepted for clearing (CFTC Letter No. 16-86) expires.

Wed 21 Jun, 2017

Category 3 EMIR IRS Clearing obligation applies (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Fri 16 Jun, 2017

Scrutiny period on revised Clearing Obligation RTS by the European Parliament ends.  

Thu 15 Jun, 2017

Transitional arrangements under CRR – which permit firms to treat exposures to yet-to-be recognised CCPs as QCCP exposures – expire.

Wed 01 Mar, 2017

Phase-in application of variation margin (VM) for OTC-derivatives not cleared by a CCP (all other covered entities). (latest of 1 month after entry into force of regulation and 1 March 2017)

Thu 09 Feb, 2017

Category 1 EMIR Index CDS Clearing obligation begins (5yr. iTraxx Europe Main and Crossover)

Sat 04 Feb, 2017

Phase-in application of variation margin (VM) for OTC-derivatives not cleared by a CCP (covered entities belonging to a group whose aggregate month-end average notional amount of non-centrally cleared derivatives exceeds EUR 3.0 trillion). (1 month after entry into force of regulation)

Thu 05 Jan, 2017

Entry into force of  Commission Implementing Decision (EU) 2016/2271 of 15 December 2016 on the equivalence of financial instrument exchanges and commodity exchanges in Japan in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance ), Commission Implementing Decision (EU) 2016/2270 of 15 December 2016 on the equivalence of approved exchanges in Singapore in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance ), Commission Implementing Decision (EU) 2016/2273 of 15 December 2016 on the equivalence of recognised exchanges in Canada in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance ) and Commission Implementing Decision (EU) 2016/2272 of 15 December 2016 on the equivalence of financial markets in Australia in accordance with Regulation (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance )

Thu 05 Jan, 2017

Entry into force of Commission Implementing Decisions on the equivalence of the regulatory framework of CCPs in New Zealand (2016/2274), India (2016/2269), Japan (2016/2275), Brazil (2016/2276),  United Arab Emirates (2016/2278) and Dubai International Financial Centre (2016/2277)

Sat 31 Dec, 2016

By end -2016, FSB Resolution Steering Group to report and to develop, as appropriate, develop proposals for further guidance to support CCP resolvability and resolution planning and to enhance prefunded financial resources and liquidity arrangements

Wed 21 Dec, 2016

Category 2 EMIR IRS clearing obligation applies (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Tue 13 Dec, 2016

Entry into force of Commission Implementing Regulation (EU) 2016/2227 of 9 December 2016 on the extension of the transitional periods related to own funds requirements for exposures to central counterparties set out in Regulations (EU) No 575/2013 and (EU) No 648/2012 of the European Parliament and of the Council (Text with EEA relevance )

Fri 09 Dec, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/2020 of 26 May 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation (Text with EEA relevance )

Mon 14 Nov, 2016

ESMA publishes Final Report On the clearing obligation for financial counterparties with a limited volume of activity, asking a delay of the clearing obligation for small financial counterparties (ESMA/2016/1565)

Sun 09 Oct, 2016

Category 1 and 2 EMIR Index CDS Frontloading obligation begins (5yr. iTraxx Europe Main and Crossover)

Sun 09 Oct, 2016

Category 1 and 2 EMIR IRS Frontloading obligation begins (Fixed-to-float / FRAs in NOK, SEK, PLN)

Sat 01 Oct, 2016

Joint BCBS, CPMI, FSB and IOSCO study group to finalise and publish report on analysis of interdependencies between CCPs and clearing members

Thu 01 Sep, 2016

Entry into force of rules on risk-mitigation techniques for OTC-derivatives not cleared by a CCP, subject to a phase-in period of 4 years (expected) 

Tue 16 Aug, 2016

CPMI and IOSCO publish Consultative report Resilience and recovery of central counterparties (CCPs): Further guidance on the PFMI

Tue 16 Aug, 2016

CPMI and IOSCO publish Implementation monitoring of PFMI: Level 3 assessment – Report on the financial risk management and recovery practices of 10 derivatives CCPs

Tue 16 Aug, 2016

FSB publishes Discussion Note Essential Aspects of CCP Resolution Planning

Tue 16 Aug, 2016

Joint BCBS, CPMI, FSB and IOSCO study group publishes Progress Report on the CCP Workplan

Tue 09 Aug, 2016

Entry into force of Commission Delegated Regulation (EU) 2016/1178 of 10 June 2016 supplementing EMIR with regard to regulatory technical standards on the IRS clearing obligation (Fixed-to-float / FRAs in NOK, SEK, PLN) (subject to corrigendum)

Tue 21 Jun, 2016

Category 1 EMIR IRS Clearing obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Tue 14 Jun, 2016

End of transitional deadline, according to which a CCP who filed an application for authorisation under EMIR was considered a QCCP (originally 15 June 2014, delayed to 15 December 2014, then to 15 June 2015, 15 December 2015 and 14 June 2016)

Wed 01 Jun, 2016

Mid-2016: CPMI-IOSCO to publish a report for public consultation on CCP resilience and recovery issues and report of the Level 3 assessment of CCP risk management

Sat 21 May, 2016

Category 2 EMIR IRS Frontloading obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Mon 09 May, 2016

CDS Clearing comes into force- Regulation (EU) 2016/592. 5yr. iTraxx Europe Main and Crossover

Tue 05 Apr, 2016

Entry into force of EC equivalence decision on the US regulatory framework (CFTC) for CCPs (2016/377)

Mon 04 Apr, 2016

ESMA publishes Final Report Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts (ESMA/2016/429)

Tue 01 Mar, 2016

ESMA publishes Final report on Possible systemic risk and cost implications of interoperability arrangements (ESMA/2016/328)

Sun 21 Feb, 2016

Category 1 EMIR IRS Frontloading obligation begins (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD)

Mon 18 Jan, 2016

ESRB publishes Report to the European Commission on the systemic risk implications of CCP interoperability arrangements under EMIR

Fri 01 Jan, 2016

Deadline for CCPs to comply with minimum set of quantitative disclosures (non-binding)  CPMI-IOSCO Public quantitative disclosure standards for central counterparties

Thu 31 Dec, 2015

By end 2015 FSB Resolution Steering Group to establish a working group (Cross-border Crisis Management Group for FMIs – fmiCBCM) as a forum for authorities to exchange views, share experiences and discuss orderly resolution of CCPs

Mon 14 Dec, 2015

ESMA publishes CP on Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts under EMIR (ESMA/2015/1867)

Tue 01 Dec, 2015

Publication in the OJ of the RTS on central clearing of interest rate derivatives under Article 5(2) EMIR (Basis, Fixed-to-float, FRA and IOS in EUR, GBP, JPY and USD) (2015/2205)

Fri 13 Nov, 2015

European Commission adopts ‘equivalence’ decisions (implementing acts) for the regulatory regimes of CCPs in Canada (2015/2040), Mexico (2015/2041), South Africa (2015/2039), Switzerland (2015/2042) and Republic of Korea (2015/2038)

Tue 10 Nov, 2015

ESMA publishes Final Report Draft RTS on the Clearing Obligation – Interest rate OTC Derivatives in additional currencies (ESMA/2015/1629)

Thu 05 Nov, 2015

ESMA publishes CP on Indirect clearing arrangements under EMIR and MiFIR (ESMA/2015/1628)

Mon 05 Oct, 2015

ESMA publishes letter on the two RTS for indirect clearing under EMIR and MiFIR, to be subject of a joint consultation (ESMA/2015/1498)

Thu 01 Oct, 2015

ESMA releases technical advice to the Commission on the review of EMIR (Expected)

Tue 22 Sep, 2015

FSB, BCBS, CPMI and IOSCO publish 2015 CCP Workplan (dated 15 April 2015) and Progress Report on the CCP Workplan on the coordination of international policy work aimed at enhancing the resilience, recovery planning and resolvability of CCPs

Tue 01 Sep, 2015

A joint BCBS, CPMI, FSB and IOSCO study group is established to identify, quantify and analyse interdependencies between CCPs and clearing members

Wed 26 Aug, 2015

ESMA publishes DP on Review of Article 26 of RTS No 153/2013 with respect to client accounts under EMIR (ESMA/2015/1295)

Tue 25 Aug, 2015

ESCB publishes report on the need for any measure to facilitate the access of CCPs to central bank liquidity facilities under Article 85 EMIR

Mon 17 Aug, 2015

EU Commission to assess importance of non-financial firms in OTC derivatives and effectiveness of EMIR to EP and EU Council

Thu 13 Aug, 2015

ESMA publishes EMIR Review Report no.1- Review on the use of OTC derivatives by non-financial counterparties (ESMA/2015/1251) , EMIR Review Report no.2- Review on the efficiency of margining requirements to limit procyclicality (ESMA/2015/1252), EMIR Review Report no.3- Review on the segregation and portability requirements (ESMA/2015/1253) and EMIR Review Report no.4- ESMA input as part of the Commission consultation on the EMIR Review ( ESMA/2015/1254)

Tue 28 Jul, 2015

ESRB publishes report on the efficiency of margining requirements to limit pro-cyclicality and the need to define additional intervention capacity in this area and report on  issues to be considered in the EMIR revision other than the efficiency of margining requirements

Wed 10 Jun, 2015

EBA, EIOPA and ESMA publish a second CP on draft RTS on risk-mitigation techniques for OTC-derivative contracts not cleared by a CCP (Comments must be received by 10 July 2015) (JC/CP/2015/002)

Mon 11 May, 2015

ESMA publishes CP on Clearing Obligation under EMIR (no.4) (ESMA/2015/807)

Wed 06 May, 2015

ESMA publishes Guidelines on the application of the definitions in Sections C6 and C7 of Annex I of MiFID, as relevant under EMIR (ESMA/2015/675)

Mon 09 Mar, 2015

ESMA publishes updated opinion and updated draft RTS for clearing of IRS

Mon 02 Mar, 2015

Deadline for responses to ESMA consultation paper on MiFID II / MiFIR (ESMA/2014/1570)

Thu 26 Feb, 2015

CPMI-IOSCO publish Public quantitative disclosure standards for CCPs

Wed 04 Feb, 2015

ESMA releases Feedback Statement indicating it does not propose to impose clearing obligation on the NDF classes at this stage (2015/ESMA/234)

Tue 03 Feb, 2015

Commission publishes report under EMIR assessing the progress and effort made by CCPs in developing technical solutions for the transfer by pension scheme arrangements of non cash collateral as variation margins, as well as the need for any measures to facilitate such solution (Article 85(2)) (COM(2015) 39 final)

Thu 29 Jan, 2015

Deadline for ESMA to re-submit the final draft RTS on mandatory clearing of IRS,as the EC indicated on 18 December 2014 its intention to endorse with amendments the draft final RTS initially submitted

Thu 29 Jan, 2015

The Commission sends to ESMA a corrigendum to the letter dated 18 December 2014 together with the modified IRS RTS

Mon 26 Jan, 2015

ISDA publishes position paper on CCP Default Management, Recovery and Continuity: A Proposed Recovery Framework

Thu 22 Jan, 2015

Athens Exchange Clearing House (AthexClear) authorised as CCP under EMIR

Fri 09 Jan, 2015

CME Clearing Europe Ltd is granted an extension of authorisation as CCP under EMIR

Thu 08 Jan, 2015

ESMA publishes a review of CCP colleges under EMIR (ESMA/2015/20)

Thu 01 Jan, 2015

Provisions on weekly or daily calculation of hypothetical capital start applying (ITS 484/2014)

Wed 31 Dec, 2014

ESMA reports to EU Commission on functioning of EMIR and extension of CCP interoperability arrangements beyond cash securities

Fri 19 Dec, 2014

ESMA publishes consultation paper on MiFID II / MiFIR, in relation with investor protection, transparency, micro-structural issues, data publication and access, requirements applying on and to trading venues, commodity derivatives, market data reporting and post-trading issues (ESMA/2014/1570)

Thu 18 Dec, 2014

Commission sent a letter informing ESMA of its intention to endorse with amendments the draft RTS on clearing of IRS

Fri 12 Dec, 2014

Holland Clearing House B.V. authorised as CCP under EMIR

Thu 11 Dec, 2014

EBA publishes final technical advice on criteria and factors for intervention on structured deposits under MiFIR (Op/2014/13)

Mon 24 Nov, 2014

ESMA publishes a letter stating that the second RTS on clearing obligations will be delayed until the assessment process of the first RTS is finalised by the Commission (ESMA/2014/1385)

Sat 01 Nov, 2014

BoE publishes CP on implementation of ESMA guidelines and recommendations on interoperability arrangements (including CCPs clearing derivatives)

Fri 31 Oct, 2014

OMIClear – C.C., S.A.authorised as CCP under EMIR

Thu 30 Oct, 2014

European Commission adopts ‘equivalence’ decisions (implementing acts) for the regulatory regimes of CCPs in Australia (2014/755), Hong Kong (2014/754), Japan (2014/752) and Singapore (2014/753).

Fri 10 Oct, 2014

Article 2 of RTS on extraterritorial jurisdiction of EMIR starts applying (concerning contracts with a “direct, substantial and foreseeable effect within the Union”) (285/2014)

Wed 01 Oct, 2014

ESMA publishes CP on Clearing Obligation under EMIR (no. 3) (ESMA/2014/1185)

Wed 01 Oct, 2014

ESMA submits the final draft RTS on mandatory clearing of IRS to the EC (edit: on 18 December 2014, EC  publicised its intention to adopt the RTS with amendments. ESMA has until 29 January 2015 to re-submit the final draft RTS)

Wed 01 Oct, 2014

CPMI-IOSCO publish Recovery of Financial Market Infrastructures (FMI)

Wed 01 Oct, 2014

FSB publishes updated key attributes of effective resolution regimes for financial institutions, with an annex covering CCPs

Wed 01 Oct, 2014

ESMA publishes Final Report Draft RTS on the Clearing Obligation – Interest Rate OTC Derivatives (ESMA/2014/1184)

Mon 29 Sep, 2014

ESMA publishes CP on definition of “commodity derivatives”, Guidelines on the application of C6 and C7 of Annex I of MiFID (ESMA/2014/1189)

Tue 16 Sep, 2014

BME Clearing authorised as CCP under EMIR

Wed 03 Sep, 2014

LME Clear Ltd authorised as CCP under EMIR

Thu 14 Aug, 2014

CCP Austria (CCP.A) authorised as CCP under EMIR

Mon 04 Aug, 2014

CME Clearing Europe authorised as CCP under EMIR

Fri 11 Jul, 2014

ESMA publishes two Consultation Papers on draft RTS on the clearing obligation for IRS (ESMA/2014/799) and CDS (ESMA/2014/800)

Fri 04 Jul, 2014

Keler CCP  authorised as CCP under EMIR

Thu 12 Jun, 2014

LCH.Clearnet Ltd authorised as CCP under EMIR

Wed 11 Jun, 2014

European Commodity Clearing authorised as CCP under EMIR

Mon 09 Jun, 2014

HM Treasury publishes Secondary legislation for Non-Bank resolution regimes: summary of responses (including CCPs)

Mon 02 Jun, 2014

Entry into force of ITS on hypothetical capital of a CCP (484/2014) (Provisions on weekly or daily calculation start applying form 1 January 2015)

Mon 02 Jun, 2014

Entry into force of Commission Implementing Regulation (EU) No 484/2014 of 12 May 2014 laying down implementing technical standards with regard to the hypothetical capital of a central counterparty according to EMIR (application date different for certain articles)

Sun 01 Jun, 2014

HM Treasury publishes summary of responses to CP on non-bank resolution regime

Thu 22 May, 2014

LCH.Clearnet SA authorised as a CCP under EMIR

Tue 20 May, 2014

Cassa di Compensazione e Granzia S.p.A. (CC&G) authorised as CCP under EMIR

Thu 01 May, 2014

Recognised UK CCPs must have non-default loss allocation rules in place

Wed 30 Apr, 2014

FCA deadline for compliance with EMIR risk mitigation techniques

Thu 10 Apr, 2014

Eurex Clearing authorised as a CCP under EMIR

Thu 10 Apr, 2014

Entry into force of RTS on extraterritorial jurisdiction of EMIR (285/2014) (Article 2 on contracts with a direct, substantial and foreseeable effect within the Union to apply from 10 October 2014) 

Tue 08 Apr, 2014

KDPW_CCP authorised as a CCP under EMIR

Tue 01 Apr, 2014

European Central Counterparty N.V. approved as a CCP under EMIR

Tue 18 Mar, 2014

Nasdaq OMX becomes first EU CCP authorised under EMIR

Tue 11 Feb, 2014

Deadline for counterparties to report their resulting net position at the CCP level as of end of 11 February 2014, for centrally cleared contracts concluded before 16 August 2012, or between 16 August 2012 and 11 February 2014.

Sat 01 Feb, 2014

Recognised UK CCPs required to have default loss allocation rules in place

Sat 01 Feb, 2014

All UK CCPs required to maintain RRPs

Wed 01 Jan, 2014

Increased capital requirements for exposures to CCP counterparties which failed to apply for authorisation under EMIR

Fri 27 Dec, 2013

Effective date of the CFTC series of eight comparability determinations for substituted compliance by SDs/MSPs, with respect to Australia, Canada, the EU, Hong Kong, Japan and Switzerland

Tue 17 Dec, 2013

EBA publishes Summary report on the comparability and pro-cyclicality of capital requirements under the Internal Ratings Based Approach in accordance with Article 502 of the CRR (

Fri 08 Nov, 2013

Entry into force of Delegated Regulations (1002/2013) with regard to the list of exempted entities

Tue 22 Oct, 2013

Deadline for financial counterparties to report outstanding disputes concerning OTC derivative contracts on the FCA EMIR web portal

Thu 03 Oct, 2013

Entry into force of RTS on college for CCPs (876/2013)

Wed 02 Oct, 2013

ESMA publishes technical advice on third country equivalence of certain jurisdictions, except US and Japan

Tue 01 Oct, 2013

CPSS-IOSCO publish CP on quantitative disclosure standards for CCPs

Thu 26 Sep, 2013

HM Treasury publishes consultation document on Secondary Legislation for Non-Bank resolution regimes (including CCPs). Deadline is 21 November 2013

Mon 23 Sep, 2013

Effective date of CFTC Final Rule on clearing requirement exemption for certain swaps entered into by cooperatives

Sun 15 Sep, 2013

Deadline for CCPs already authorised to provide clearing services in accordance with Member State national law to apply for authorisation under EMIR

Sun 15 Sep, 2013

Requirement for Portfolio Reconciliation, Portfolio Compression and Dispute Resolution (RTS 149/2013)

Mon 09 Sep, 2013

Compliance date for Category 3 entities – clearing obligation of certain IRS and CDS

Tue 03 Sep, 2013

ESMA publishes technical advice on third country equivalence of US and Japan

Sun 01 Sep, 2013

HM Treasury publishes CP on non-bank resolution regimes (including to CCPs)

Thu 11 Jul, 2013

CFTC and European Commission issue a joint statement “A Path Forward” on cross-border regulation of swaps/derivatives

Sun 30 Jun, 2013

EBA, EIOPA and ESMA guidance on exchange of collateral for non-cleared trades

Mon 10 Jun, 2013

Effective date of CFTC Final Rule on clearing requirement exemption for swaps between certain affiliated entities

Mon 10 Jun, 2013

Compliance date for Category 2 entities – clearing obligation of certain IRS and CDS

Mon 10 Jun, 2013

ESMA publishes the Guidelines and Recommendations for establishing consistent, efficient and effective assessments of interoperability arrangements (ESMA/2013/322)

Fri 15 Mar, 2013

Entry into force of six RTS, after publication in the OJ on 23 February 2013: RTS on capital requirements for CCPs (152/2013), RTS on requirements for CCPs (153/2013), RTS on indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-financial CP, risk mitigation techniques for OTC not cleared by a CCP (149/2013), RTS on the minimum details of the data to be reported to TRs (148/2013), RTS specifying the details of the application for registration as a TR (150/2013), RTS specifying the data to be published an made available by TRs and operation standards for aggregation, comparing and accessing the data (151/2013). (Certain provisions on portfolio reconciliation, compressions and dispute resolution to apply from 15 September 2013. Certain provisions on bank guarantees backed by collateral to apply from 15 March 2016.) (update: RTS 153/2013 was amended on 15 June 2016 by RTS 2016/822)

Fri 15 Mar, 2013

Requirement to notify regulators of NFC+ status

Fri 15 Mar, 2013

Requirement for FCs and NFC+s to carry out daily MTM (or mark to model) valuations

Tue 12 Mar, 2013

ESMA publishes practical guidance for the recognition of Third Country CCPs

Mon 11 Mar, 2013

Compliance date for Category 1 entities – clearing obligation of certain IRS and CDS

Thu 10 Jan, 2013

Entry into force of three ITS, further to publication in the OJ on 21 December 2012: ITS on requirements for CCPs (1249/2012), ITS on the minimum details of the data to be reported to TSs (1247/2012), ITS specifying the format of applications  for registration of TSs (1248/2012) (N.B. Apply from 15 March 2013)

Thu 29 Nov, 2012

CFTC adopts final rule on first clearing requirements for four classes of IRS and two classes of CDS

Fri 28 Sep, 2012

Effective date of CFTC Final Rule on Swap Transaction Compliance and Implementation Schedule for Clearing Requirement, providing for phase-in compliance schedule

Mon 17 Sep, 2012

Effective date of CFTC Final Rule on end-user exception to the clearing requirement for swaps

Thu 16 Aug, 2012

EMIR comes into force

Wed 01 Aug, 2012

HM Treasury publishes CP on extending resolution regimes (including to CCPs)

Wed 21 Jul, 2010

Dodd-Frank Act becomes law

Thu 24 Sep, 2009

G20 Summit at Pittsburgh

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