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| | Recitals |
| | Title I Subject Matter, Scope and Definitions (arts. 1-3) |
Amended | Article 1 Subject matter and scope |
Amended | Article 2 Definitions |
Inserted | Article 2a Equivalence decisions for the purposes of the definition of OTC derivatives |
Entered into force | Article 3 Intragroup transactions |
| | Title II Clearing, Reporting and Risk Mitigation of OTC Derivatives (arts. 4-13a) |
Amended | Article 4 Clearing obligation |
Inserted | Article 4a Financial counterparties that are subject to the clearing obligation |
Amended | Article 5 Clearing obligation procedure |
Amended | Article 6 Public register |
Inserted | Article 6a Suspension of clearing obligation |
Inserted | Article 6b Suspension of clearing obligation in the case of resolution |
Amended | Article 7 Access to a CCP |
Entered into force | Article 8 Access to a trading venue |
Amended | Article 9 Reporting obligation |
Amended | Article 10 Non-financial counterparties |
Amended | Article 11 Risk-mitigation techniques for OTC derivative contracts not cleared by a CCP |
Entered into force | Article 12 Penalties |
Entered into force | Article 13 Mechanism to avoid duplicative or conflicting rules |
Amended | Article 13a Replacement of interest rate benchmarks in legacy trades |
| | Title III Authorisation and Supervision of CCPs (arts. 14-25) |
| | Chapter 1 Conditions and procedures for the authorisation of a CCP (arts. 14-21) |
Entered into force | Article 14 Authorisation of a CCP |
Amended | Article 15 Extension of activities and services |
Entered into force | Article 16 Capital requirements |
Amended | Article 17 Procedure for granting and refusing authorisation |
Amended | Article 18 College |
Amended | Article 19 Opinion of the college |
Entered into force | Article 20 Withdrawal of authorisation |
Amended | Article 21 Review and evaluation |
| | Chapter 2 Supervision and oversight of CCPs (art. 22) |
Entered into force | Article 22 Competent authority |
| | Chapter 3 Cooperation (arts. 23-24) |
Entered into force | Article 23 Cooperation between authorities |
Inserted | Article 23a Supervisory cooperation between competent authorities and ESMA with regards to authorised CCPs |
Amended | Article 24 Emergency situations |
| | Chapter 3A CCP Supervisory Committee (arts. 24a-24e) |
Inserted | Article 24a CCP Supervisory Committee |
Inserted | Article 24b Consultation of central banks of issue |
Inserted | Article 24c Decision making within the CCP Supervisory Committee |
Inserted | Article 24d Decision making within the Board of Supervisors |
Inserted | Article 24e Accountability |
| | Chapter 4 Relations with third countries (arts. 25-25q) |
Amended | Article 25 Recognition of a third-country CCP |
Inserted | Article 25a Comparable compliance |
Inserted | Article 25b Ongoing compliance with the conditions for recognition |
Inserted | Article 25c Third-country CCP college |
Inserted | Article 25d Fees |
Inserted | Article 25e Exercise of the powers referred to in Articles 25f to 25h |
Inserted | Article 25f Request for information |
Inserted | Article 25g General investigations |
Inserted | Article 25h On-site inspections |
Inserted | Article 25i Procedural rules for taking supervisory measures and imposing fines |
Inserted | Article 25j Fines |
Inserted | Article 25k Periodic penalty payments |
Inserted | Article 25l Hearing of the persons concerned |
Inserted | Article 25m Disclosure, nature, enforcement and allocation of fines and periodic penalty payments |
Inserted | Article 25n Review by the Court of Justice |
Inserted | Article 25o Amendments to Annex IV |
Inserted | Article 25p Withdrawal of recognition |
Inserted | Article 25q Supervisory measures by ESMA |
| | Title IV Requirements for CCPs (arts. 26-50d) |
| | Chapter 1 Organisational requirements (arts. 26-35) |
Entered into force | Article 26 General provisions |
Entered into force | Article 27 Senior management and the board |
Entered into force | Article 28 Risk committee |
Entered into force | Article 29 Record keeping |
Entered into force | Article 30 Shareholders and members with qualifying holdings |
Entered into force | Article 31 Information to competent authorities |
Amended | Article 32 Assessment |
Entered into force | Article 33 Conflicts of interest |
Entered into force | Article 34 Business continuity |
Amended | Article 35 Outsourcing |
| | Chapter 2 Conduct of business rules (arts. 36-39) |
Entered into force | Article 36 General provisions |
Entered into force | Article 37 Participation requirements |
Amended | Article 38 Transparency |
Entered into force | Article 39 Segregation and portability |
| | Chapter 3 Prudential requirements (arts. 40-50) |
Entered into force | Article 40 Exposure management |
Entered into force | Article 41 Margin requirements |
Entered into force | Article 42 Default fund |
Entered into force | Article 43 Other financial resources |
Entered into force | Article 44 Liquidity risk controls |
Entered into force | Article 45 Default waterfall |
Inserted | Article 45a Temporary restrictions in the case of a significant non-default event |
Entered into force | Article 46 Collateral requirements |
Entered into force | Article 47 Investment policy |
Entered into force | Article 48 Default procedures |
Amended | Article 49 Review of models, stress testing and back testing |
Entered into force | Article 50 Settlement |
| | Chapter 4 Calculations and reporting for the purposes of Regulation (EU) No 575/2013 (arts. 50a-50d) |
ApplicableInserted | Article 50a Calculation of KCCP |
ApplicableInserted | Article 50b General rules for the calculation of KCCP |
ApplicableInserted | Article 50c Reporting of information |
ApplicableInserted | Article 50d Calculation of specific items to be reported by the CCP |
| | Title V Interoperability Arrangements (arts. 51-54) |
Entered into force | Article 51 Interoperability arrangements |
Entered into force | Article 52 Risk management |
Entered into force | Article 53 Provision of margins among CCPs |
Entered into force | Article 54 Approval of interoperability arrangements |
| | Title VI Registration and Supervision of Trade Repositories (arts. 55-77) |
| | Chapter 1 Conditions and procedures for registration of a trade repository (arts. 55-74) |
Entered into force | Article 55 Registration of a trade repository |
Amended | Article 56 Application for registration |
Entered into force | Article 57 Notification of and consultation with competent authorities prior to registration |
Entered into force | Article 58 Examination of the application |
Entered into force | Article 59 Notification of ESMA decisions relating to registration |
Entered into force | Article 60 Exercise of the powers referred to in Articles 61 to 63 |
Entered into force | Article 61 Request for information |
Amended | Article 62 General investigations |
Amended | Article 63 On-site inspections |
Amended | Article 64 Procedural rules for taking supervisory measures and imposing fines |
Amended | Article 65 Fines |
Entered into force | Article 66 Periodic penalty payments |
Amended | Article 67 Hearing of the persons concerned |
Entered into force | Article 68 Disclosure, nature, enforcement and allocation of fines and periodic penalty payments |
Entered into force | Article 69 Review by the Court of Justice |
Entered into force | Article 70 Amendments to Annex II |
Entered into force | Article 71 Withdrawal of registration |
Amended | Article 72 Supervisory fees |
Entered into force | Article 73 Supervisory measures by ESMA |
Entered into force | Article 74 Delegation of tasks by ESMA to competent authorities |
| | Chapter 2 Relations with third countries (arts. 75-77) |
Entered into force | Article 75 Equivalence and international agreements |
Entered into force | Article 76 Cooperation arrangements |
Inserted | Article 76a Mutual direct access to data |
Entered into force | Article 77 Recognition of trade repositories |
| | Title VII Requirements for Trade Repositories (arts. 78-82) |
Entered into force | Article 78 General requirements |
Entered into force | Article 79 Operational reliability |
Amended | Article 80 Safeguarding and recording |
Amended | Article 81 Transparency and data availability |
Amended | Article 82 Exercise of the delegation |
| | Title VIII Common Provisions (arts. 83-84) |
Entered into force | Article 83 Professional secrecy |
Entered into force | Article 84 Exchange of information |
| | Title IX Transitional and Final Provisions (arts. 85-91) |
Amended | Article 85 Reports and review |
Amended | Article 86 Committee procedure |
Entered into force | Article 87 Amendment to Directive 98/26/EC |
Entered into force | Article 88 Websites |
Amended | Article 89 Transitional provisions |
Amended | Article 90 Staff and resources of ESMA |
Entered into force | Article 91 Entry into force |
Amended | Annex I List of infringements referred to in Article 65(1) |
Entered into force | Annex II List of the coefficients linked to aggravating and mitigating factors for the application of Article 65(3) |
Inserted | Annex III List of infringements referred to in Article 25j(1) |
Inserted | Annex IV List of the coefficients linked to aggravating and mitigating factors for the application of Article 25j(3) |
| | Done at |
