Page 33 - 《期货和衍生品行业监管动态》（2022年合集）
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期货和衍生品行业监管动态




                               错误地拒绝报告方报告的正确数据。



                        直接和即时数据访问



                        该交易报告库因疏忽大意而未能向监管机构提供直接和即时的数据访问接


                   口，包括：



                             生成不正确的报告；



                             未能在规定期限内提供报告；以及


                             由于其错误的拒绝行为而遗漏了报告中的数据。



                        ESMA 还发现，由于其没有核实报告方数据的准确性和完整性，REGIS-TR


                   进一步出现 3 项违规行为，导致其向监管机构提供了错误和不可靠的报告。



                        在计算过失性违规的罚款时，ESMA 同时考虑了 EMIR 中规定的加重和减轻


                   处罚的因素。



                   ESMA Fines REGIS-TR €186 000 for EMIR Data Breaches（2022/3/24）


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

                   markets regulator, has fined trade repository REGIS-TR €186,000 for eight breaches

                   of the European Market Infrastructure Regulation (EMIR).


                        The breaches relate to failures in ensuring the integrity of data and providing

                   direct and immediate access to regulators. The breaches were committed between

                   2017 and 2020. Five out of eight breaches were found to have resulted from

                   negligence on the part of REGIS-TR.


                        Data Integrity

                        REGIS-TR negligently failed to ensure the integrity of the data reported to it due

                   to various data processing incidents, including


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