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Delegation agreements - ESMA

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Delegation agreements. Working towards increased supervisory convergence is beneficial to both EU supervisors and financial market ... Skiptomaincontent Home>Convergence>SUPERVISORYCONVERGENCE>Delegationagreements Print Delegationagreements Delegationagreements WorkingtowardsincreasedsupervisoryconvergenceisbeneficialtobothEUsupervisorsandfinancialmarketparticipants.AtoolavailabletoachievethisisthedelegationoftasksandresponsibilitiesfromoneNationalCompetentAuthority(NCA)toanotherortoESMA. Thepurposeofsuchadelegationistoreducetheduplicationofsupervisorytasks,fostercooperation,streamlinethesupervisoryprocess,aswellasreducetheburdenimposedonfinancialmarketparticipants.  Agreements Whencansuchadelegationtakeplace? Article28oftheESMARegulationallowsanNCAtodelegatetasksandresponsibilitiesunderthelegalactswithinESMA’sremittoanotherNCAortoESMA,providedthatthefollowingconditionsaremet: thedelegateauthoritygivesitsconsent; whereresponsibilitiesaredelegated,thedelegationresultsinthereallocationofcompetencesbetweenthedelegatingandthedelegateauthorities; anyenforcement,administrativeorjudicialprocedurerelatingtothedelegatedresponsibilities,ifany,isgovernedbythenationallawofthedelegateauthority; anypotentialarrangementssetoutbyMemberStatesconcerningthedelegationofresponsibilitiesbyNCAsarecompliedwith;and, incaseofdelegationoftasksandresponsibilitiesbetweenNCAs,ESMAisinformedoftheproposeddelegationagreementatleastonemonthbeforetheagreementisenteredinto. WhatisESMA’srole? Afterbeinginformedofaproposeddelegationagreementasindicatedinpoint(v)above,ESMAhastheoptiontoissueanopinionthereonwithinonemonth(calculatedinaccordancewithRegulation(EEC,Euratom)No1182/71)pursuanttoArticle28(4)oftheESMARegulation. Onceconcluded,delegationagreementsarepublishedonESMA’swebsiteinordertoensurethatallpartiesconcernedareinformedappropriately. ConcludeddelegationagreementsbetweenNCAs Delegatingauthority Delegateauthority Subjectmatterofthedelegation Startdate Enddate Finansinspektionen(SE) Finanstilsynet(DK) Anumberoftasksandresponsibilitiesconcerningtransactionreporting underArticle25ofMiFIDI 6June2017 3January2018 Finansinspektionen(SE) Finanssivalvonta(FI) Anumberoftasksandresponsibilitiesconcerningtransactionreporting underArticle25ofMiFIDI 22August2017 3January2018 DelegationAgreementsbetweenESMAandNCAs ESMAconcluded30delegationagreementsdelegatingtoESMAtasksregardingtheprovisionofacentralfacilityinrelationtoinstrumentandtradingdataandthecalculationoftransparencyandliquiditythresholdsunderRegulation(EU)No600/2014andsingleaccesspointtotraderepositoriesdataunderRegulation(EU)No648/2012. Specificoverviewofthesedelegationagreementsaredetailedinthe Overviewdocument. Thedelegationagreementsareallsubstantiallyidentical,thedifferenceonlybeingthenameoftheauthoritythatconcludedthedelegationagreement,theindividualcontactpointatthatauthorityandtheindividualfinancialcontributionofthatauthority. Againstthisbackground,wepublishasampleofthe delegationagreement anditsAnnexes.

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