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  2. Point in time
    2024-12-18

Preamble

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to the opinion of the European Central Bank,

Having regard to Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories, and in particular Article 56(4) thereof,

Whereas:

  1. (1)

    Any information submitted to the European Securities and Markets Authority (ESMA) in an application for registration of a trade repository should be provided in a durable medium, which enables its storage for future use and reproduction. In order to facilitate the identification of the information submitted by a trade repository, documents included with an application should bear a unique reference number.

  2. (2)

    This Regulation is based on the draft implementing technical standards submitted by ESMA to the European Commission, pursuant to the procedure in Article 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority).

  3. (3)

    In accordance with Article 15 of Regulation (EU) No 1095/2010, ESMA has conducted open public consultations on such draft implementing technical standards, analysed the potential related costs and benefits and requested the opinion of the ESMA Securities and Markets Stakeholder Group established in accordance with Article 37 of that Regulation,

HAS ADOPTED THIS REGULATION:

Article 1 Format of the application

  1. (1) An application for registration or extension of registration shall be submitted in the format set out in the Annex.1

  2. (2) The trade repository shall give a unique reference number to each document it submits and shall clearly identify which specific requirement in Delegated Regulation (EU) 150/2013 the document refers to.1

  3. (3) An application for registration or extension of registration shall clearly indicate the reasons why information referring to a certain requirement is not submitted.1

  4. (4) An application for registration or extension of registration shall be submitted in a durable medium, as defined in Article 2(1)(m) of Directive 2009/65/EC.1

Article 2 Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Signature

Done at Brussels, 19 December 2012.

For the Commission

The President

José Manuel BARROSO

ANNEX FORMAT OF APPLICATION

ANNEX

1FORMAT FOR AN APPLICATION FOR REGISTRATION OR EXTENSION OF REGISTRATION AS A TRADE REPOSITORY

GENERAL INFORMATION

Date of application

Corporate name of trade repository

Legal address

The classes of derivatives for which the trade repository is applying to be registered

Name of the person assuming the responsibility of the application

Contact details of the person assuming the responsibility of the application

Name of other person responsible for the trade repository compliance

Contact details of the person(s) responsible for the trade repository compliance

Identification of any parent company

DOCUMENT REFERENCES1

1Article of Commission Delegated Regulation 150/2013

Unique reference number of document

Title of the document

Chapter, section or page of the document where the information is provided or reason why the information is not provided1