Page 42 - 期货和衍生品行业监管动态（2023年12月刊）

期货和衍生品行业监管动态

ESMA Publishes Annual Peer Review of EU CCP Supervision (2023/12/12)

The European Securities and Markets Authority (ESMA), the EU’s financial

markets regulator and supervisor, has today published its annual peer review

report on the supervision of EU Central Counterparties (CCPs) by National

Competent Authorities (NCAs). The Peer Review measured the effectiveness of

NCA supervisory practices in assessing CCP compliance with EMIR requirements

on due diligence of clearing members.

The NCAs participating in the current peer review have broadly met the

supervisory expectations in relation to CCP clearing members. In particular, the NCAs

consistently assessed the CCPs’ compliance with the participation requirements, with

due diligence of clearing members and with their review process.

The review of how NCAs ensured compliance with the rules governing CCP

colleges activities during the reporting period is overall positive, although in some cases,
NCAs ensured compliance with certain deadlines under EMIR only after the end of the

review period.

The peer review has also identified the need for further work to promote

convergence in respect of the continuous monitoring of the CCP clearing members’

operational capacity.

To address the shortcomings identified via this peer review, ESMA has issued

recommendations to the NCAs which only partially met the expectations.

Next steps

ESMA will follow up on the implementation of the recommendations made to

NCAs and also work to identify, where relevant, the most appropriate tools to further

enhance supervisory convergence.

https://www.esma.europa.eu/press-news/esma-news/esma-publishes-annual-peer-

review-eu-ccp-supervision-1

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