Page 34 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

 not having ensured the integrity of the data reported to REGIS-TR; and

 having incorrectly rejected data correctly reported by the Reporting

Parties.

Direct and immediate access

The trade repository negligently failed to provide direct and immediate access to

regulators by:

 generating incorrect reports;

 failing to provide reports within the specified time limits; and

 omitting data in the reports due to wrong rejections.

ESMA also found that REGIS-TR committed three further breaches resulting in

the provision of wrong and unreliable reports to regulators by failing to verify the
correctness and completeness of the data received by the reporting parties.

In calculating the fine for negligent infringements, ESMA considered both

aggravating and mitigating factors under EMIR.

https://www.esma.europa.eu/press-news/esma-news/esma-fines-regis-tr-€186-000-em

ir-data-breaches

11. 欧洲证券和市场管理局更新第三国 CCP 认可决定（2022 年 3 月 25 日）

欧洲证券与市场管理局（ESMA，欧盟证券市场的监管者），公布了在《欧

盟市场基础设施监管条例》（EMIR）项下对第三国中央对手方（TC-CCPs）认

可的一系列更新信息。

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