{"kind":"evidence_file","company":{"id":"3e1d0506-f1d9-4d15-8d69-c42524aef415","name":"DTCC Derivatives Repository Plc","mergedInto":null},"asOf":"2026-10-25T00:50:51.499Z","asOfBasis":"instant","generatedAt":"2026-10-27T03:31:57.735Z","claims":[{"predicate":"name","value":"dtcc derivatives repository","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn13258","observedAt":"2026-09-12T19:08:44.191Z","confirmedAt":"2026-10-23T12:00:18.913Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"13258","regime":"European Securities and Markets Authority","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:44.201Z","designatedAt":"2021-07-08T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has fined DTCC Derivatives Repository Plc (DDRL) a total of €408,000 for seven infringements of the European Market Infrastructure Regulation (EMIR) regarding data confidentiality, data integrity, and direct and immediate access to data. The breaches relate to: • granting certain asset managers access to data that they were not entitled to receive; • setting up its IT system in a way which altered the substance of certain information reported to DDRL; and • failing to provide regulators with direct and immediate access to relevant data. The breaches, which were committed between 2014 and 2018, were found to have resulted from negligence on the part of DDRL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13258","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"13258","regime":"European Securities and Markets Authority","program":"EMIR","state":"in_force","stateSince":"2026-09-12T19:14:35.207Z","recordedAt":"2026-09-12T19:14:35.207Z","designatedAt":"2021-07-08T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has fined DTCC Derivatives Repository Plc (DDRL) a total of €408,000 for seven infringements of the European Market Infrastructure Regulation (EMIR) regarding data confidentiality, data integrity, and direct and immediate access to data. The breaches relate to: • granting certain asset managers access to data that they were not entitled to receive; • setting up its IT system in a way which altered the substance of certain information reported to DDRL; and • failing to provide regulators with direct and immediate access to relevant data. The breaches, which were committed between 2014 and 2018, were found to have resulted from negligence on the part of DDRL.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13258","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"9ea3e620-a420-4207-9bac-3d1f5ee58496","takenAt":"2026-09-12T19:15:03.764Z","methodology":"v4","level":"medium","overall":65,"digest":"20465ecc73abeb2353d76519eca440942714f5f9","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:14:40.601Z"}],"dimension":"sanctions"}],"jurisdictions":[]},"ownership":null},"limits":["Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.","No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland."]}