{"kind":"evidence_file","company":{"id":"8a9792f0-e822-499d-b36f-8113d2c1b52d","name":"REGIS-TR S.A.","mergedInto":null},"asOf":"2026-10-24T19:09:24.883Z","asOfBasis":"instant","generatedAt":"2026-10-24T19:51:03.762Z","claims":[{"predicate":"name","value":"regis-tr","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn13257","observedAt":"2026-09-12T19:08:44.168Z","confirmedAt":"2026-10-23T12:00:18.895Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"13257","regime":"European Securities and Markets Authority","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:08:44.178Z","designatedAt":"2019-07-11T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"The European Securities and Markets Authority (ESMA), the EU’s securities markets’ regulator, has fined the trade repository Regis-TR S.A. €56,000, and issued a public notice, for negligently failing to provide to regulators direct and immediate access to details of derivative contracts. The European Markets and Infrastructure Regulation (EMIR) requires TRs to provide such data to regulators. This is a key requirement to improve transparency and facilitate the monitoring of systemic risks in the derivatives markets. ESMA found that Regis-TR failed to put in place systems capable of providing to regulators direct and immediate access to derivatives data from the start of the EMIR reporting obligation in February 2014 to October 2016. These access failures related to: - 85.5% (3.7 billion) of Regis-TR’s data on trade terminations and 1.6% (15 million) of data on trade modifications; and - 100% (2.9 billion) of Regis-TR’s data on trade valuations and 100% (22 million) of data on collateral updates. ESMA found that Regis-TR had committed the infringement negligently and, therefore, is liable to a fine. In calculating the fine, ESMA considered both aggravating and mitigating factors provided for in EMIR.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13257","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"13257","regime":"European Securities and Markets Authority","program":"EMIR","state":"in_force","stateSince":"2026-09-12T19:14:35.189Z","recordedAt":"2026-09-12T19:14:35.189Z","designatedAt":"2019-07-11T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"The European Securities and Markets Authority (ESMA), the EU’s securities markets’ regulator, has fined the trade repository Regis-TR S.A. €56,000, and issued a public notice, for negligently failing to provide to regulators direct and immediate access to details of derivative contracts. The European Markets and Infrastructure Regulation (EMIR) requires TRs to provide such data to regulators. This is a key requirement to improve transparency and facilitate the monitoring of systemic risks in the derivatives markets. ESMA found that Regis-TR failed to put in place systems capable of providing to regulators direct and immediate access to derivatives data from the start of the EMIR reporting obligation in February 2014 to October 2016. These access failures related to: - 85.5% (3.7 billion) of Regis-TR’s data on trade terminations and 1.6% (15 million) of data on trade modifications; and - 100% (2.9 billion) of Regis-TR’s data on trade valuations and 100% (22 million) of data on collateral updates. ESMA found that Regis-TR had committed the infringement negligently and, therefore, is liable to a fine. In calculating the fine, ESMA considered both aggravating and mitigating factors provided for in EMIR.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13257","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":"d5539db7-918a-414f-b46e-1d9bcad2e1e5","takenAt":"2026-09-12T19:15:07.042Z","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."]}