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European
ESMA - European Securities and Markets Authority
Consultations
2020
Information
Table of Contents
Table of Contents
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Consultation Paper - Technical standards on reporting, data quality, data access and registration of Trade Repositories under EMIR REFIT (ESMA74-362-47)
1 Legislative references, abbreviations and definitions
2 Executive Summary
3 Background (paras. 1-3)
4 Reporting (paras. 4-346)
4.1 Methods and arrangements for reporting (paras. 4-45)
4.1.1 Provisions of details of OTC derivative contracts by NFC to FC (paras. 4-19)
4.1.2 Reporting where an NFC decides to report itself (paras. 20-24)
4.1.3 Delegation of reporting (paras. 25-33)
4.1.4 Ensuring data quality by counterparties (paras. 34-45)
4.2 Use of data standards (paras. 46-140)
4.2.1 Use of ISO 20022 (paras. 46-62)
4.2.2 Unique Trade Identifier (UTI) (paras. 63-88)
4.2.3 Unique Product Identifier (UPI) (paras. 89-122)
4.2.4 Use of Legal Entity Identifiers (LEIs) (paras. 123-132)
4.2.5 Inclusion of CDEs (paras. 133-140)
4.3 Reporting logic (paras. 141-182)
4.3.1 Reporting of lifecycle events (paras. 141-178)
4.3.2 Reporting at position level (paras. 179-182)
4.4 Content of the report (paras. 183-337)
paras. 183-191
4.4.1 Data elements related to dates and timestamps (paras. 192-208)
4.4.2 Data elements related to counterparties and beneficiaries (paras. 209-233)
4.3.3 Data elements related to clearing, trading, confirmation and settlement (paras. 234-249)
4.4.4 Data elements related to regular payments (paras. 250-254)
4.4.5 Data elements related to valuation (paras. 255-262)
4.4.6 Data elements related to collateral, margins and counterparty rating triggers (paras. 263-272)
4.4.7 Data elements related to prices (paras. 273-278)
4.4.8 Data elements related to notional amount and quantities (paras. 279-289)
4.4.9 Data elements related to credit derivatives (paras. 290-295)
4.4.10 Data elements related to other payments (paras. 296-303)
4.4.11 Data elements related to packages and links (paras. 304-322)
4.4.12 Data elements related to custom baskets (paras. 323-326)
4.4.13 Data elements relevant for REMIT reporting (paras. 327-333)
4.4.14 Reporting of derivatives on crypto-assets (paras. 334-337)
4.5 Reporting of outstanding derivatives under the revised rules (paras. 338-343)
4.6 The date by which derivatives should be reported (paras. 344-346)
5 Data quality provisions (paras. 347-393)
paras. 347-349
5.1 Procedures on data collection (paras. 350-353)
5.2 Procedures for update of an LEI (paras. 354-359)
5.3 Reconciliation of data (para. 360-390)
5.3.1 Scope and start of the reconciliation process (paras. 360-366)
5.3.2 Framework of the reconciliation process (paras. 367-376)
5.3.3 Integrity of the reconciled derivatives (paras. 377-378)
5.3.4 Format of the files to be exchanged (paras. 379-383)
5.3.5 Data elements to be compared during the reconciliation process (paras. 384-390)
5.4 Procedures for portability (paras. 391-393)
6 Common response on reporting (paras. 394-410)
6.1 Rejection response (paras. 394-398)
6.2 Reconciliation response and relevant statuses (paras. 399-401)
6.3 End-of-day (EoD) response (paras. 402-410)
7 Registration of the TRs (paras. 411-417)
7.1 Additional provisions (para. 411)
7.2 Provisions for extension of registration (paras. 412-414)
7.3 Format of the application for registration and extension of registration (paras. 415-417)
8 Data access by authorities (paras. 418-426)
9 Publication of data (pras. 427-431)
10 Annexes
10.1 Annex I - Summary of questions
10.2 Annex II - Legislative mandate to develop technical standards
10.3 Annex III - Cost-benefit analysis
10.4 Annex IV - Draft RTS on details of the reports to be reported to TRs under EMIR
10.5 Annex V - Draft ITS on standards, formats, frequency and methods and arrangements for reporting to TRs under EMIR
10.6 Annex VI - RTS on registration and extension of registration of TRs under EMIR
10.7 Annex VII - ITS on registration and extension of registration of TRs under EMIR
10.8 Annex VIII – RTS on procedures for ensuring data quality
10.9 Annex IX – RTS on operational standards for aggregation and comparison of data and on terms and conditions for granting access to data
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Consultation Paper - Technical standards on reporting, data quality, data access and registration of Trade Repositories under EMIR REFIT (ESMA74-362-47)
10 Annexes
10.8 Annex VIII – RTS on procedures for ensuring data quality
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Version date: 26 March 2020 - onwards
10.8 Annex VIII – RTS on procedures for ensuring data quality
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3 July 2020
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