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Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

You are viewing the version of the document as on 2021-01-01.

Status: In this content, we have included all amendments made by EU exit-related instruments up to end September 2020. There will be more amendments to be made later this year, further to the September QCP.

Article 8 Details to be included in ESMA’s Register

  1. (1)

    The ESMA public register shall include for each class of OTC derivative contracts subject to the clearing obligation:

    1. (a)

      the asset class of OTC derivative contracts;

    2. (b)

      the type of OTC derivative contracts within the class;

    3. (c)

      the underlyings of OTC derivative contracts within the class;

    4. (d)

      for underlyings which are financial instruments, an indication of whether the underlying is a single financial instrument or issuer or an index or portfolio;

    5. (e)

      for other underlyings an indication of the category of the underlying;

    6. (f)

      the notional and settlement currencies of OTC derivative contracts within the class;

    7. (g)

      the range of maturities of OTC derivative contracts within the class;

    8. (h)

      the settlement conditions of OTC derivative contracts within the class;

    9. (i)

      the range of payment frequency of OTC derivative contracts within the class;

    10. (j)

      the product identifier of the relevant class of OTC derivative contracts;

    11. (k)

      any other characteristic required to distinguish one contract in the relevant class of OTC derivative contracts from another.

  2. (2)

    In relation to CCPs that are authorised or recognised for the purpose of the clearing obligation, the ESMA public register shall include for each CCP:

    1. (a)

      the identification code, in accordance with Article 3 of Implementing Commission Regulation (EU) No 1247/2012;

    2. (b)

      the full name;

    3. (c)

      the country of establishment;

    4. (d)

      the competent authority designated in accordance with Article 22 of Regulation (EU) No 648/2012.

  3. (3)

    In relation to the dates from which the clearing obligation takes effect, including any phased-in implementation, the ESMA public register shall include:

    1. (a)

      the identification of the categories of counterparties to which each phase-in period applies;

    2. (b)

      any other condition required pursuant to the regulatory technical standards adopted under Article 5(2) of Regulation (EU) No 648/2012, in order for the phase-in period to apply.

  4. (4)

    The ESMA public register shall include the reference of the regulatory technical standards adopted under Article 5(2) of Regulation (EU) No 648/2012, according to which each clearing obligation was established.

  5. (5)

    In relation to the CCP that has been notified to ESMA by the competent authority, the ESMA public register shall include at least:

    1. (a)

      the identification of the CCP;

    2. (b)

      the asset class of OTC derivative contracts that are notified;

    3. (c)

      the type of OTC derivative contracts;

    4. (d)

      the date of the notification;

    5. (e)

      the identification of the notifying competent authority.