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New version applies from 29/11/2022 — introduced by Commission Delegated Regulation (EU) 2022/2310.
12 provisions change.
Commission Delegated Regulation (EU) No 149/2013
15/03/2013 → 03/01/2018: 2 inserted · 0 removed · 21 amended · 0 moved · 12 renamed · 42 unchanged
Position-only shifts inside the same heading are not changes. Amended = the printed text changed.
Preamble
Preamble · 1 unchanged
Recitals
Recitals · 41 unchanged
Recital 1 · Recital 2 · Recital 3 · Recital 4 · Recital 5 · Recital 6 · Recital 7 · Recital 8 · Recital 9 · Recital 10 · Recital 11 · Recital 12 · Recital 13 · Recital 14 · Recital 15 · Recital 16 · Recital 17 · Recital 18 · Recital 19 · Recital 20 · Recital 21 · Recital 22 · Recital 23 · Recital 24 · Recital 25 · Recital 26 · Recital 27 · Recital 28 · Recital 29 · Recital 30 · Recital 31 · Recital 32 · Recital 33 · Recital 34 · Recital 35 · Recital 36 · Recital 37 · Recital 38 · Recital 39 · Recital 40 · Recital 41
Chapter I - GENERAL
- amended Article 1 - Definitions Chapter I
Chapter II - INDIRECT CLEARING ARRANGEMENTS (Article 4(4) of Regulation (EU) No 648/2012)
- amendedrenamed Article 2 - Requirements for the provision of indirect clearing services by clients Chapter II was “Article 2 - Structure of indirect clearing arrangements”
- amended Article 3 - Obligations of CCPs Chapter II
- amended Article 4 - Obligations of clearing members Chapter II
- amended Article 5 - Obligations of clients Chapter II
- inserted Article 5a - Requirements for the provision of indirect clearing services by indirect clients Chapter II
- inserted Article 5b - Requirements for the provision of indirect clearing services by second indirect clients Chapter II
Chapter III - NOTIFICATION TO ESMA FOR THE PURPOSE OF THE CLEARING OBLIGATION (Article 5(1) of Regulation (EU) No 648/2012)
- amended Article 6 - Details to be included in the notification Chapter III
Chapter IV - CRITERIA FOR THE DETERMINATION OF THE CLASSES OF OTC DERIVATIVE CONTRACTS SUBJECT TO THE CLEARING OBLIGATION (Article 5(4) of Regulation (EU) No 648/2012)
- amended Article 7 - Criteria to be assessed by ESMA Chapter IV
Chapter V - PUBLIC REGISTER (Article 6(4) of Regulation (EU) No 648/2012)
- amended Article 8 - Details to be included in ESMA’s Register Chapter V
Chapter VI - LIQUIDITY FRAGMENTATION (Article 8(5) of Regulation (EU) No 648/2012)
- amended Article 9 - Specification of the notion of liquidity fragmentation Chapter VI
Chapter VII - NON-FINANCIAL COUNTERPARTIES
- amendedrenamed Article 10 Chapter VII was “Article 10 - (Article 10(4)(a) of Regulation (EU) No 648/2012) Criteria for establishing which OTC derivative contracts are objectively reducing risks”
- amendedrenamed Article 11 Chapter VII was “Article 11 - (Article 10(4)(b) of Regulation (EU) No 648/2012) Clearing thresholds”
Chapter VIII - RISK-MITIGATION TECHNIQUES FOR OTC DERIVATIVE CONTRACTS NOT CLEARED BY A CCP
- amendedrenamed Article 12 Chapter VIII was “Article 12 - (Article 11(14)(a) of Regulation (EU) No 648/2012) Timely confirmation”
- amendedrenamed Article 13 Chapter VIII was “Article 13 - (Article 11(14)(a) of Regulation (EU) No 648/2012) Portfolio reconciliation”
- amendedrenamed Article 14 Chapter VIII was “Article 14 - (Article 11(14)(a) of Regulation (EU) No 648/2012) Portfolio compression”
- amendedrenamed Article 15 Chapter VIII was “Article 15 - (Article 11(14)(a) of Regulation (EU) No 648/2012) Dispute resolution”
- amendedrenamed Article 16 Chapter VIII was “Article 16 - (Article 11(14)(b) of Regulation (EU) No 648/2012) Market conditions that prevent marking-to-market”
- amendedrenamed Article 17 Chapter VIII was “Article 17 - (Article 11(14)(b) of Regulation (EU) No 648/2012) Criteria for using marking-to-model”
- amendedrenamed Article 18 Chapter VIII was “Article 18 - (Article 11(14)(c) of Regulation (EU) No 648/2012) Details of the intragroup transaction notification to the competent authority”
- amendedrenamed Article 19 Chapter VIII was “Article 19 - (Article 11(14)(d) of Regulation (EU) No 648/2012) Details of the intragroup transaction notification to ESMA”
- amendedrenamed Article 20 Chapter VIII was “Article 20 - (Article 11(14)(d) of Regulation (EU) No 648/2012) Information on the intragroup exemption to be publicly disclosed”
- amended Article 21 - Entry into force and application Chapter VIII