Page 729 - 《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

下一步

指南将在未来几周内以欧盟官方语言在 ESMA 官网发布。将根据 ESMA 条

例第 16（3）条的规定推进适用或解释程序。指南将于 2023 年 3 月 23 日生效。

ESMA Provides Guidance to Applicants under the DLT Pilot Regime

(2022/12/15)

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

financial markets regulator and supervisor, has today published a Final

Report including Guidelines on standard templates, forms and formats to apply

for permission to operate a DLT market infrastructure.

These Guidelines include templates to be used by market participants to apply

for specific permission to operate any type of DLT market infrastructure (DLT MI)
under the DLT Pilot Regulation (DLTR), namely: a DLT MTF, a DLT settlement

system or a DLT trading and settlement system. They also include templates for the

applicants DLT MIs to request limited exemptions from specific requirements under

MiFIR, MiFID II or CSDR, provided they comply with certain conditions.

Instructions on how to submit this information should be published by the national

competent authorities on their website.

Applicants are strongly encouraged to anticipate the formal entry into force of

the guidelines, and to refer to the Guidelines included in this Final Report and liaise

with their national competent authority to prepare their application for permission to

operate a DLT MI.

The Final Report takes into account responses received to the Public

Consultation conducted in July and August 2022.

Next steps

The Guidelines will be published on the ESMA website in the EU official

languages in the coming weeks. The comply or explain procedure for authorities will

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