Page 40 - 期货和衍生品行业监管动态（2024年11月）

期货和衍生品行业监管动态

Next Steps

Following the notification about the outcome of the assessment of the derogation

criteria, ESMA will engage closely with the two entities subject to a change of

supervisor and with their current supervisors, to initiate the handover of

responsibilities.

Background

The ESAs’ Review Regulation has transferred the authorisation and supervision

of DRSPs from national competent authorities to ESMA, except for those DRSPs

subject to a derogation.

The criteria to identify those DRSPs that are supervised by NCAs by way of

derogation are specified in a Delegated Act (DA). According to the DA, ESMA is

mandated to reassess the relevance for the internal market of the activities of an APA

or an ARM every year. In the case that, based on the assessment, the thresholds for

derogation or application of ESMA supervision are no longer met in two consecutive

years, the change into application or derogation of ESMA supervision takes effect on

1 June in the following year.

https://www.esma.europa.eu/press-news/esma-news/esma-become-direct-supervisor-t

wo-additional-data-reporting-services-providers

9. -

2024 11 20

欧盟证券与市场管理局（ESMA，欧盟证券市场的监管者）发布了一份关于

对《欧盟市场基础设施监管条例 3》（EMIR 3）进行审查后，活跃账户要求（AAR）

条件的征求意见稿。

27