ESMA publishes final Guidelines on reporting under Articles 4 and 12 SFTR

This Final report on Guidelines on reporting under SFTR contains the assessment of the feedback received from stakeholders on key elements of ESMA Guidelines on reporting under SFTR. The Guidelines provide clarification regarding the compliance with the SFTR technical standards and ensure the consistent implementation of the new SFTR rules.

The Final report is split into different sections. The sections contain a brief explanation of the proposals in the consultation paper and the assessment of the feedback that is taken on board and the one that is not taken on board together with the reasons for it. Section 3 contains the assessment of the feedback to the general principles that apply to SFT reporting, including how the SFT reports should be constructed, in what circumstances and how many SFT reports should be sent. In particular, this section discusses the feedback relating to the number of SFTs that are reportable, the different action types to be used for reporting, the timeliness of reporting of conclusion, modification and termination of an SFT, certain exclusions from the meaning of SFTs and implications for third country firms concluding SFTs via their EU branches.

The full report is available at

Related Posts

Previous Post
FT: US on high alert for cyber attacks
Next Post
IHS Markit’s 2019 securities lending snapshot: H1 underperformance, Q4 upswing

Related Posts

Fill out this field
Fill out this field
Please enter a valid email address.


Reset password

Create an account