2021: Regulatory Reporting Updates

September 30, 2021

Please find below a summary of industry news from 2021…


30/09/2021  ESMA UPDATE EMIR Q&A

23/09/2021  ESMA fines UnaVista Trade Repository €238500 for EMIR data failures

17/08/2021  REGIS-TR partners with Reg-X

11/08/2021  DTCC becomes the sole trade repository under MAS

30/07/2021  UnaVista to close its SFTR trade repository

23/07/2021  OSTTRA: A new joint venture by IHS Markit and CME

19/07/2021  ESMA MIFIR Q&A UPDATE (RTS23)

19/07/2021  ESMA finds NCAS imposed sanctions of €8.4million for MIFID II breaches in 2020

14/07/2021  FCA publishes business plan 2021/2022

12/07/2021  ESMA fines DTCC Trade Repository for EMIR data failures

09/07/2021  LIBOR transition: UK MiFIR and EMIR Reporting

06/07/2021  MAS Consults on amendments to the “Reporting of derivatives contracts” regulations

06/07/2021  ISDA calls for clearing and trading obligation alignment

01/07/2021  UK treasury consults on UK Wholesale Markets

28/06/2021  Credit Suisse pays CFTC $1.5M for swap reporting errors

28/05/2021  ESMA Releases Updated MIFIR Q&A

28/05/2021  ESMA Consults on guidelines for data transfer between TR’s under EMIR and SFTR

24/05/2021  Update to UK EMIR reporting validation rules

20/05/2021  ESMA releases updated EMIR Q&A

06/05/2021  FCA uses transaction reporting data in investigation against Sapien

15/04/2021  ESMA DQR report highlights issues with EMIR and SFTR Data Quality

09/04/2021  EMIR: ETD Vs OTC

31/03/2021  ESMA updates EMIR Q&A

29/03/2021  ESMA & FCA retract EMIR validation change for collateral

29/03/2021  ASIC’s CFD product intervention order takes effect

26/03/2021  Citadel Securities fined $275k for reporting violations after $700k fine in 2020

19/03/2021  UK suspends RTS 27 reporting requirements for rest of the year

18/03/2021  Update to UK EMIR reporting validation rules

12/03/2021  ASIC imposes additional licence conditions on AxiCorp Financial Services

10/03/2021  Identifying GB Nationals in MiFIR reports post-Brexit

02/02/2021  ESMA Report on the application of waivers and deferrals for equity instruments


05/11/2020  ESMA publishes first Q & A’s on SFTR reporting

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