See links to useful information on the UK Securities Financing Transactions Regulation (UK SFTR) to help you understand your requirements.
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This isn’t intended to be a comprehensive list and isn’t a substitute for your own research.
Now the transition period has ended, the references below confirm the legislation that's applicable in the UK following the end of the transition period.
UK statutory instruments
- The provisions of the EU SFTR that were operational before the end of the transition period have been brought into UK law by the European Union (Withdrawal Agreement) Act 2020. These statutory instruments make changes to onshored SFTR. The Transparency of Securities Financing Transactions and of Reuse (Amendment) (EU Exit) Regulations 2019 and Explanatory Memorandum[1]
- The Securities Financing Transactions, Securitisation and Miscellaneous Amendments (EU Exit) Regulations 2020[2]
Onshoring of technical standards
The EU technical standards that were operational during the transition period have been brought into UK law by the European Union (Withdrawal Agreement) Act 2020.
Relevant instruments, which were made on 22 October 2020, are listed below. These instruments make changes to bring the standards into UK law. The UK technical standards may be found in the FCA’s Handbook[3].
The Technical Standards (Securities Financing Transactions Regulation) (EU Exit) (No 1) Instrument 2020[4] makes changes to onshore the following technical standards:
- Commission Delegated Regulation (EU) 2019/357 of 13 December 2018 supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards on access to details of securities financing transactions (SFTs) held in trade repositories[5]
- Commission Delegated Regulation (EU) 2019/358 of 13 December 2018 supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards on the collection, verification, aggregation, comparison and publication of data on securities financing transactions (SFTs) by trade repositories [6]
- Commission Delegated Regulation (EU) 2019/359 of 13 December 2018 supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of the application for registration and extension of registration as a trade repository[7]
- Commission Delegated Regulation (EU) 2019/364 of 13 December 2018 laying down implementing technical standards with regard to the format of applications for registration and extension of registration of trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council[8]
The Technical Standards (Securities Financing Transactions Regulation (EU Exit) (No 2) Instrument 2020 [9]makes changes to onshore the following technical standards:
- Commission Delegated Regulation (EU) 2019/356 of 13 December 2018 supplementing Regulation (EU) 2015/2365 of the European Parliament and of the Council with regard to regulatory technical standards specifying the details of securities financing transactions (SFTs) to be reported to trade repositories [10]
- Commission Implementing Regulation (EU) 2019/363 of 13 December 2018 laying down implementing technical standards with regard to the format and frequency of reports on the details of securities financing transactions (SFTs) to trade repositories in accordance with Regulation (EU) 2015/2365 of the European Parliament and of the Council and amending Commission Implementing Regulation (EU) No 1247/2012 with regard to the use of reporting codes in the reporting of derivative contracts[11]
UK SFTR validation rules
UK SFTR reporting counterparties and UK TRs should use the UK SFTR validation rules[12] when submitting securities financing transactions (SFTs) entered into from 11pm on 31 December 2020 until 11 April 2022. On 14 October 2021, we published an update to the UK SFTR validation rules[13], which will apply from 11 April 2022.
EU legislation and other documents applicable before the end of the transition period
Find links to: