Trade Reporting

Mon 19 Dec, 2016

ESMA publishes Consultation Paper ESMA’s technical advice to the Commission on fees for TRs under SFTR and on certain amendments to the fees under EMIR (ESMA/2016/1672)

Thu 15 Dec, 2016

ESMA publishes Consultation paper Draft technical standards on data to be made publicly available by TRs under Article 81 of EMIR, including partial overlap with benchmarks regulation (ESMA/2016/1661)

Tue 05 Apr, 2016

ESMA publishes Final report Draft technical standards on access to data and aggregation and comparison of data across TR under Article 81 of EMIR (ESMA/2016/422)

Fri 18 Mar, 2016

Compliance date of SEC Final Rule on Security-based Swap Data Repository Registration, Duties and Core Principles

Fri 11 Dec, 2015

ESMA publishes CP on Draft RTS on access to data and aggregation and comparison of data across TR under Article 81 of EMIR (ESMA/2015/1866)

Tue 01 Dec, 2015

Expiry of CFTC “SDR Reporting Rules” time-limited no-action relief for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. 1 December 2015 at the latest, or 30 days following a comparability determination by the CFTC (Letter no. 14-141).

Fri 13 Nov, 2015

ESMA publishes Final Report Review of the RTS and ITS on reporting under Article 9 of EMIR (ESMA/2015/1645)

Wed 01 Jul, 2015

Reporting obligation to ESMA commences, if TR unavailable

Mon 18 May, 2015

Compliance date of SEC Final Rule on Regulation SBSR – Reporting and Dissemination of Security-based Swaps Information

Thu 19 Mar, 2015

SEC publishes Final Rule on Regulation SBSR – Reporting and Dissemination of Security-based Swaps Information and Final Rule on Security-based Swap Data Repository Registration, Duties and Core Principles

Mon 01 Dec, 2014

Expiry of CFTC “SDR Reporting Rules” time-limited no-action relief for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. (Letter no. 13-75), subject to further time-limited no-action relief until 1 December 2015 at the latest (Letter no. 14-141).

Mon 24 Nov, 2014

CFTC issues extension of time-limited no-action relief from certain SDR Reporting Rules for certain SDs and MSPs established under the laws of Australia, Canada, the European Union, Japan or Switzerland. Expiry at the latest on 1 December 2015 (Letter no. 14-141)

Tue 12 Aug, 2014

Reporting start date for “exposures” (collateral and valuations)

Sun 22 Jun, 2014

Entry into force of Delegated Regulation (667/2014) on rules of procedure for penalties on TRs by ESMA

Wed 12 Feb, 2014

Start date for reporting of OTC derivatives

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.

Wed 01 Jan, 2014

Reporting obligation for derivatives other than CDS and IRS if a TR has been registered by 1 Oct 2013 (N.B. First TR registered on 14 November 2013, reporting obligation delayed to 12 February 2014)

Mon 02 Dec, 2013

Expiry of CFTC time-limited no-action relief to SEFs, from certain swap data reporting requirements re Equities and Commodities (Letter no. 13-55)

Sun 01 Dec, 2013

Expiry of CFTC time-limited no-action relief to reporting counterparties, from continuation data reporting re Equities and Commodities (Letter no. 13-56)

Wed 30 Oct, 2013

Expiry of CFTC time-limited no-action relief to SEFs, from certain swap data reporting requirements re FX (Letter no. 13-55)

Tue 29 Oct, 2013

Expiry of CFTC time-limited no-action relief to reporting counterparties, from continuation data reporting re FX transactions (Letter no. 13-56)

Tue 22 Oct, 2013

Entry into force of Delegated Regulations (1003/2013) with regard to fees charged by ESMA to TRs

Mon 01 Jul, 2013

Reporting obligation commences for CDS and IRS if a TR has been registered by 1 April 2013 (N.B. First TRs registered on 14 November 2013, reporting obligation for CDS and IRS delayed to 12 February 2014)

Wed 10 Apr, 2013

Compliance date for Historical Swap Reporting of IRS, CDS, FX Swaps, FX Forwards, Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S end user and a U.S. end user, or a non-U.S. end user

Wed 10 Apr, 2013

Compliance date for SDR Reporting and Real-Time Reporting of IRS, CDS, FX Swaps, FX Forwards, Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S end user and a U.S. end user, or a non-U.S. end user

Wed 10 Apr, 2013

Compliance date for SDR Reporting (no Real-Time Reporting) of FX Swaps and FX Forwards between a U.S. end user and a U.S end user, or a non-U.S. end user 

Sat 30 Mar, 2013

Compliance date for Historical Swap Reporting of Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Sat 30 Mar, 2013

Compliance date for Historical Swap Reporting of FX Swaps or FX Forwards between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Fri 15 Mar, 2013

TRs can apply for authorisation

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)

Thu 28 Feb, 2013

Compliance date for SDR Reporting and Real-Time Reporting of Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of a U.S. SD/MSP and a U.S. person (other than another non-U.S. branch); a non-U.S SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch); a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person

Thu 28 Feb, 2013

Compliance date for SDR Reporting (no Real-Time Reporting) of Other FX Derivatives, Equity Swaps, Commodity Swaps and Other Swaps between a non-U.S. branch of U.S. SD/MSP and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a non-U.S branch

Thu 28 Feb, 2013

Compliance date for SDR Reporting (no Real-Time Reporting) of FX Swaps and FX Forwards between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

Wed 30 Jan, 2013

Compliance date for Historical Swap Reporting of IRS and CDS between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch), a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person or a non-U.S. branch

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)

Mon 31 Dec, 2012

Compliance date for SDR Reporting (no Real-Time Reporting) of IRS and CDS between a non-U.S. branch of U.S. SD/MSP and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP with a U.S. ultimate parent and a non-U.S. person or non-U.S. branch; a non-U.S. SD/MSP without a U.S. ultimate parent and a non-U.S. branch

Mon 31 Dec, 2012

Compliance date for SDR Reporting and Real-Time Reporting of IRS and CDS between a U.S. person that is a SD/MSP and any counterparty; a non-U.S. branch of U.S. SD/MSP and a U.S. person (other than another non-U.S. branch); a non-U.S. SD/MSP with a U.S. ultimate parent and a U.S. person (other than a non-U.S. branch); a non-U.S. SD/MSP without a U.S. ultimate parent and a U.S. person

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