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Declaration of compliance of ESMA guidelines on systems and controls

Release date: 23 Jun 2014 | Eurex Exchange

No. 136/2014 Declaration of compliance of ESMA guidelines on systems and controls

By introducing the “Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities” (ESMA/2012/122), the European Securities and Markets Authority (ESMA) established comprehensive guidelines for the handling of automated trading. These guidelines apply equally for investment firms and trading venues.

The Exchange Supervisory Authority of Hesse,as the competent authority for Eurex Deutschland, considers the ESMA guidelines in its supervisory practices.

Additionally, the German Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht, BaFin)translated these ESMA guidelines into national requirements for German credit and financial services institutions within their circular 6/2013 (BA). One of the requirements envisages that these institutes have to verify, whether the trading platforms they use comply with the ESMA guidelines.

Therefore, we increasingly receive enquiries from our exchange participants, asking whether Eurex Deutschland fulfils the regulatory requirements.

Based on the above, we confirm that Eurex Deutschland complies with the requirements as stipulated in the ESMA guidelines (ESMA/2012/22).

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