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					<dc:identifier>http://www.legislation.gov.uk/eur/2013/149/chapter/V</dc:identifier><dc:title>Commission Delegated Regulation (EU) No 149/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-financial counterparties, and risk mitigation techniques for OTC derivatives contracts not cleared by a CCP (Text with EEA relevance)</dc:title><dct:alternative>Commission Delegated Regulation (EU) No 149/2013</dct:alternative><dc:description>Commission Delegated Regulation (EU) No 149/2013 of 19 December 2012 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the Council with regard to regulatory technical standards on indirect clearing arrangements, the clearing obligation, the public register, access to a trading venue, non-financial counterparties, and risk mitigation techniques for OTC derivatives contracts not cleared by a CCP (Text with EEA relevance)</dc:description><dc:publisher>King's Printer of Acts of Parliament</dc:publisher><dc:source>https://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02013R0149-20180103</dc:source><dc:type>text</dc:type><dc:format>text/xml</dc:format><dc:language>en</dc:language><dc:modified>2023-12-11</dc:modified><dc:contributor>Expert Participation</dc:contributor><dct:valid>2023-07-11</dct:valid>
					
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				</ukm:Metadata><EURetained><EUBody DocumentURI="http://www.legislation.gov.uk/eur/2013/149/body" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/body" NumberOfProvisions="23" RestrictExtent="E+W+S+N.I." RestrictStartDate="2018-01-03"><EUChapter DocumentURI="http://www.legislation.gov.uk/eur/2013/149/chapter/V" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/chapter/V" NumberOfProvisions="1" id="chapter-V" RestrictExtent="E+W+S+N.I." RestrictStartDate="2012-12-19">
            <Number>CHAPTER V</Number>
            <Title>
               <Strong>PUBLIC REGISTER</Strong>
            </Title>
            <Title>(Article 6(4) of Regulation (EU) No 648/2012)</Title>
            <P1group RestrictStartDate="2012-12-19" RestrictExtent="E+W+S+N.I.">
               <Title>Details to be included in ESMA’s Register</Title>
               <P1 DocumentURI="http://www.legislation.gov.uk/eur/2013/149/article/8" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/article/8" id="article-8">
                  <Pnumber>Article 8</Pnumber>
                  <P1para>
                     <P2 DocumentURI="http://www.legislation.gov.uk/eur/2013/149/article/8/1" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/article/8/1" id="article-8-1">
                        <Pnumber PuncBefore="" PuncAfter=".">1</Pnumber>
                        <P2para>
                           <Text>The ESMA public register shall include for each class of OTC derivative contracts subject to the clearing obligation:</Text>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">a</Pnumber>
                              <P3para>
                                 <Text>the asset class of OTC derivative contracts;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">b</Pnumber>
                              <P3para>
                                 <Text>the type of OTC derivative contracts within the class;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">c</Pnumber>
                              <P3para>
                                 <Text>the underlyings of OTC derivative contracts within the class;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">d</Pnumber>
                              <P3para>
                                 <Text>for underlyings which are financial instruments, an indication of whether the underlying is a single financial instrument or issuer or an index or portfolio;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">e</Pnumber>
                              <P3para>
                                 <Text>for other underlyings an indication of the category of the underlying;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">f</Pnumber>
                              <P3para>
                                 <Text>the notional and settlement currencies of OTC derivative contracts within the class;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">g</Pnumber>
                              <P3para>
                                 <Text>the range of maturities of OTC derivative contracts within the class;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">h</Pnumber>
                              <P3para>
                                 <Text>the settlement conditions of OTC derivative contracts within the class;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">i</Pnumber>
                              <P3para>
                                 <Text>the range of payment frequency of OTC derivative contracts within the class;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">j</Pnumber>
                              <P3para>
                                 <Text>the product identifier of the relevant class of OTC derivative contracts;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">k</Pnumber>
                              <P3para>
                                 <Text>any other characteristic required to distinguish one contract in the relevant class of OTC derivative contracts from another.</Text>
                              </P3para>
                           </P3>
                        </P2para>
                     </P2>
                     <P2 DocumentURI="http://www.legislation.gov.uk/eur/2013/149/article/8/2" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/article/8/2" id="article-8-2">
                        <Pnumber PuncBefore="" PuncAfter=".">2</Pnumber>
                        <P2para>
                           <Text>In relation to CCPs that are authorised or recognised for the purpose of the clearing obligation, the ESMA public register shall include for each CCP:</Text>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">a</Pnumber>
                              <P3para>
                                 <Text>the identification code, in accordance with Article 3 of Implementing Commission Regulation (EU) No 1247/2012<FootnoteRef Ref="f00006"/>;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">b</Pnumber>
                              <P3para>
                                 <Text>the full name;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">c</Pnumber>
                              <P3para>
                                 <Text>the country of establishment;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">d</Pnumber>
                              <P3para>
                                 <Text>the competent authority designated in accordance with Article 22 of Regulation (EU) No 648/2012.</Text>
                              </P3para>
                           </P3>
                        </P2para>
                     </P2>
                     <P2 DocumentURI="http://www.legislation.gov.uk/eur/2013/149/article/8/3" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/article/8/3" id="article-8-3">
                        <Pnumber PuncBefore="" PuncAfter=".">3</Pnumber>
                        <P2para>
                           <Text>In relation to the dates from which the clearing obligation takes effect, including any phased-in implementation, the ESMA public register shall include:</Text>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">a</Pnumber>
                              <P3para>
                                 <Text>the identification of the categories of counterparties to which each phase-in period applies;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">b</Pnumber>
                              <P3para>
                                 <Text>any other condition required pursuant to the regulatory technical standards adopted under Article 5(2) of Regulation (EU) No 648/2012, in order for the phase-in period to apply.</Text>
                              </P3para>
                           </P3>
                        </P2para>
                     </P2>
                     <P2 DocumentURI="http://www.legislation.gov.uk/eur/2013/149/article/8/4" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/article/8/4" id="article-8-4">
                        <Pnumber PuncBefore="" PuncAfter=".">4</Pnumber>
                        <P2para>
                           <Text>The ESMA public register shall include the reference of the regulatory technical standards adopted under Article 5(2) of Regulation (EU) No 648/2012, according to which each clearing obligation was established.</Text>
                        </P2para>
                     </P2>
                     <P2 DocumentURI="http://www.legislation.gov.uk/eur/2013/149/article/8/5" IdURI="http://www.legislation.gov.uk/id/eur/2013/149/article/8/5" id="article-8-5">
                        <Pnumber PuncBefore="" PuncAfter=".">5</Pnumber>
                        <P2para>
                           <Text>In relation to the CCP that has been notified to ESMA by the competent authority, the ESMA public register shall include at least:</Text>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">a</Pnumber>
                              <P3para>
                                 <Text>the identification of the CCP;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">b</Pnumber>
                              <P3para>
                                 <Text>the asset class of OTC derivative contracts that are notified;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">c</Pnumber>
                              <P3para>
                                 <Text>the type of OTC derivative contracts;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">d</Pnumber>
                              <P3para>
                                 <Text>the date of the notification;</Text>
                              </P3para>
                           </P3>
                           <P3>
                              <Pnumber PuncBefore="(" PuncAfter=")">e</Pnumber>
                              <P3para>
                                 <Text>the identification of the notifying competent authority.</Text>
                              </P3para>
                           </P3>
                        </P2para>
                     </P2>
                  </P1para>
               </P1>
            </P1group>
         </EUChapter></EUBody></EURetained><Footnotes><Footnote id="f00006">
         <FootnoteText>
            <Para>
               <Text>
                  <Citation id="c00005" Class="EuropeanUnionOfficialJournal" Year="2012" URI="https://webarchive.nationalarchives.gov.uk/eu-exit/https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=uriserv:OJ.L_.2012.352.01.0020.01.ENG" Date="2012-12-21">OJ L 352, 21.12.2012, p. 20</Citation>.</Text>
            </Para>
         </FootnoteText>
      </Footnote></Footnotes></Legislation>