DTCC Derivatives Repository Limited

• LiftedEuropean Securities and Markets Authority

  Debarment

  In this state since

  12 Sept 2026

  Designated

  23 Mar 2016

  Reason given

  On 23 March 2016, the European Securities and Markets Authority (ESMA) has fined the trade repository DTCC Derivatives Repository Limited (DDRL) €64,000, and issued a public notice, for negligently failing to put in place systems capable of providing regulators with direct and immediate access to derivatives trading data. This is a key requirement under the European Markets and Infrastructure Regulation (EMIR) in order to improve transparency and facilitate the monitoring of systemic risks in derivatives markets. This is the first time ESMA has taken enforcement action against a trade repository registered in the European Union (EU). DDRL is the largest EU registered trade repository. ESMA found that DDRL failed to provide direct and immediate access to derivatives data from 21 March 2014 to 15 December 2014, a period of about nine months in which access delays increased from two days to 62 days after reporting and affected 2.6 billion reports. This was due to its negligence in: - failing to put in place data processing systems that were capable of providing regulators with direct and immediate access to reported data; - failing, once they became aware, to inform ESMA in a timely manner of the delays that were occurring; and - taking three months to establish an effective remedial action plan even while delays were worsening. DDRL’s failures caused delays to regulators accessing data, revealed systemic weaknesses in its organisation particularly its procedures, management systems or internal controls and negatively impacted the quality of the data it maintained.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13207)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  13207

• In forceEuropean Securities and Markets Authority

  EMIR

  In this state since

  12 Sept 2026

  Designated

  23 Mar 2016

  Reason given

  On 23 March 2016, the European Securities and Markets Authority (ESMA) has fined the trade repository DTCC Derivatives Repository Limited (DDRL) €64,000, and issued a public notice, for negligently failing to put in place systems capable of providing regulators with direct and immediate access to derivatives trading data. This is a key requirement under the European Markets and Infrastructure Regulation (EMIR) in order to improve transparency and facilitate the monitoring of systemic risks in derivatives markets. This is the first time ESMA has taken enforcement action against a trade repository registered in the European Union (EU). DDRL is the largest EU registered trade repository. ESMA found that DDRL failed to provide direct and immediate access to derivatives data from 21 March 2014 to 15 December 2014, a period of about nine months in which access delays increased from two days to 62 days after reporting and affected 2.6 billion reports. This was due to its negligence in: - failing to put in place data processing systems that were capable of providing regulators with direct and immediate access to reported data; - failing, once they became aware, to inform ESMA in a timely manner of the delays that were occurring; and - taking three months to establish an effective remedial action plan even while delays were worsening. DDRL’s failures caused delays to regulators accessing data, revealed systemic weaknesses in its organisation particularly its procedures, management systems or internal controls and negatively impacted the quality of the data it maintained.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn13207)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  13207

No ownership verdict was on file for this company on 24 October 2026.

As recorded by the assessment reading taken on 12 September 2026, 19:15 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

• 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.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

Taken

12 September 2026, 19:15 UTC

Methodology

Version 4

Level

Medium

Score recorded

65 of 100

Digest

a32e4116f6615bd33fe7a427ca83444eb3188f30A fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

bd41f60d-8919-4fdc-aa3f-cc02cf4c5920

Address

https://apolika.com/entities/7e1bec9e-5abb-4d3a-8e2b-3236ebb7bcb9/evidence?as_of=2026-10-24The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/7e1bec9e-5abb-4d3a-8e2b-3236ebb7bcb9/evidence?as_of=2026-10-24T19%3A13%3A03.216Z

Made

24 October 2026, 19:13 UTC