SFTR Validation Rules Excel document

The request was partially successful.

Dear European Securities and Markets Authority,

Under the right of access to documents in the EU treaties, as developed in Regulation 1049/2001, I am requesting documents which contain the following information:

In the week commencing 9 December 2018, the Commission released 10 delegated regulations that form the level II SFTR legislation.

They made minor changes to the SFTR Validation Rules.

I would like the LATEST version of the SFTR Validation Rules EXCEL document.

[I note you have previously given the same to Steve Martin on 7 Feb 2018]

Yours faithfully,

Steve Martin

Info ESMA, European Securities and Markets Authority

Dear sir or Madam,

Thank you for your message.

We value your input and question raised on this issue. As with all
relevant questions that are submitted to us by external sources, we have
taken note of the points raised and are consulting internally as well as
with the relevant ESMA committees to assess whether further public
guidance is needed. Please refer to
[1]https://www.esma.europa.eu/questions-and... for information on
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Enrico Gagliardi, European Securities and Markets Authority

Dear Mr Martin,


We would like to refer you to the request for access to documents you
filed pursuant to Regulation (EC) No 1049/2001 in which you asked ESMA to
get access to an updated (adopted) version of the Excel SFTR Validation
rules document.


In your request you made reference to the fact that the European
Commission has now endorsed the relevant RTS and ITS on reporting under


In this respect, please note that endorsement by the European Commission
is just one of the steps in finalizing the process prior to the entry into
force of a given delegated or implementing regulation. Until the European
Parliament and Council do not formally communicate to the European
Commission their non-objection to the technical standards, there is no
final version of the standards, hence of the validation rules.


We kindly invite you to follow ESMA’s subsequent publications on this
topic, which would take place only after the aforementioned non-objections
by the co-legislators.


With kind regards


Enrico Gagliardi



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