Page 38 - 期货和衍生品行业监管动态（2023年4月）

期货和衍生品行业监管动态

与各成员国监管机构、利益相关者（如交易报告库、数据报告服务提供者、

报告实体）继续开展合作，对相关报告机制下进一步改进数据质量至关重要。

ESMA Finds Data Quality Significantly Improves under New Monitoring

Approach (2023/4/19)

The European Securities and Markets Authority (ESMA), the EU’s financial
markets regulator and supervisor, today published the third edition of its Data Quality

Report under the European Markets Infrastructure Regulation (EMIR) and the
Securitised Financing Transactions Regulation (SFTR) reporting regimes.

The report highlights the increased use of transaction data by EU financial

regulatory authorities in their day-to-day supervision and identifies significant quality

improvements following a new approach to data monitoring. In addition, it sets out how

ESMA, together with the National Competent Authorities (NCAs), the European

Central Bank (ECB) and the European Systemic Risk Board (ESRB), has incorporated

key insights from its data monitoring in several internal workstreams.

The new framework, adopted in 2022, takes a more data-driven and outcome-

focused approach to data monitoring and to collaborating with the NCAs on data quality

issues under EMIR and SFTR.

Specifically, it consists of two new elements:

 a centralised data quality dashboard with EU-wide indicators covering the most

fundamental data quality aspects under EMIR;

 a data sharing framework that enables relevant authorities to follow up with

counterparties when potentially significant data quality issues are detected

New this year is the analysis of MiFiR transaction data from Authorized Reporting

Mechanisms (ARMs) and Approved Publication Arrangements (APAs), following on

from ESMA’s new supervisory powers over Data Reporting Services Providers

(DRSPs).

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