{
  "url": "https://openlegislation.uk/eu-regulation-2013-149",
  "json_url": "https://openlegislation.uk/eu-regulation-2013-149.json",
  "id": "eur/2013/149",
  "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)",
  "short_title": "Regulation (EU) No 149/2013 supplementing Regulation (EU) No 648/2012 of the European Parliament and of the…",
  "long_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)",
  "citation": "EU Regulation No 149/2013",
  "type": "eur",
  "year": "2013",
  "number": "149",
  "version": "current",
  "date": "2012-12-19",
  "revised": false,
  "valid_from": null,
  "extent": "E+W+S+N.I.",
  "unapplied_effects": 0,
  "provisions": [
    {
      "path": "introduction",
      "kind": "introduction",
      "number": null,
      "heading": "Introductory text",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/introduction",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "chapter/I",
      "kind": "chapter",
      "number": "I",
      "heading": "GENERAL",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/1",
      "kind": "article",
      "number": "1",
      "heading": "Definitions",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-1",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/I"
    },
    {
      "path": "chapter/II",
      "kind": "chapter",
      "number": "II",
      "heading": "INDIRECT CLEARING ARRANGEMENTS",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/2",
      "kind": "article",
      "number": "2",
      "heading": "Requirements for the provision of indirect clearing services by clients",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-2",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/3",
      "kind": "article",
      "number": "3",
      "heading": "Obligations of CCPs",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-3",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/4",
      "kind": "article",
      "number": "4",
      "heading": "Obligations of clearing members",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-4",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/5",
      "kind": "article",
      "number": "5",
      "heading": "Obligations of clients",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-5",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/5a",
      "kind": "article",
      "number": "5a",
      "heading": "Requirements for the provision of indirect clearing services by indirect clients",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-5a",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "article/5b",
      "kind": "article",
      "number": "5b",
      "heading": "Requirements for the provision of indirect clearing services by second indirect clients",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-5b",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/II"
    },
    {
      "path": "chapter/III",
      "kind": "chapter",
      "number": "III",
      "heading": "NOTIFICATION TO ESMA FOR THE PURPOSE OF THE CLEARING OBLIGATION",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/6",
      "kind": "article",
      "number": "6",
      "heading": "Details to be included in the notification",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-6",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/III"
    },
    {
      "path": "chapter/IV",
      "kind": "chapter",
      "number": "IV",
      "heading": "CRITERIA FOR THE DETERMINATION OF THE CLASSES OF OTC DERIVATIVE CONTRACTS SUBJECT TO THE CLEARING OBLIGATION",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/7",
      "kind": "article",
      "number": "7",
      "heading": "Criteria to be assessed by ESMA",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-7",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/IV"
    },
    {
      "path": "chapter/V",
      "kind": "chapter",
      "number": "V",
      "heading": "PUBLIC REGISTER",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/8",
      "kind": "article",
      "number": "8",
      "heading": "Details to be included in ESMA’s Register",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-8",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/V"
    },
    {
      "path": "chapter/VI",
      "kind": "chapter",
      "number": "VI",
      "heading": "LIQUIDITY FRAGMENTATION",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/9",
      "kind": "article",
      "number": "9",
      "heading": "Specification of the notion of liquidity fragmentation",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-9",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VI"
    },
    {
      "path": "chapter/VII",
      "kind": "chapter",
      "number": "VII",
      "heading": "NON-FINANCIAL COUNTERPARTIES",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/10",
      "kind": "article",
      "number": "10",
      "heading": "(Article 10(4)(a) of Regulation (EU) No 648/2012)Criteria for establishing which OTC derivative contracts are objectively reducing risks",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-10",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VII"
    },
    {
      "path": "article/11",
      "kind": "article",
      "number": "11",
      "heading": "(Article 10(4)(b) of Regulation (EU) No 648/2012)Clearing thresholds",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-11",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VII"
    },
    {
      "path": "chapter/VIII",
      "kind": "chapter",
      "number": "VIII",
      "heading": "RISK-MITIGATION TECHNIQUES FOR OTC DERIVATIVE CONTRACTS NOT CLEARED BY A CCP",
      "url": null,
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": null
    },
    {
      "path": "article/12",
      "kind": "article",
      "number": "12",
      "heading": "(Article 11(14)(a) of Regulation (EU) No 648/2012)Timely confirmation",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-12",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/13",
      "kind": "article",
      "number": "13",
      "heading": "(Article 11(14)(a) of Regulation (EU) No 648/2012)Portfolio reconciliation",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-13",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/14",
      "kind": "article",
      "number": "14",
      "heading": "(Article 11(14)(a) of Regulation (EU) No 648/2012)Portfolio compression",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-14",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/15",
      "kind": "article",
      "number": "15",
      "heading": "(Article 11(14)(a) of Regulation (EU) No 648/2012)Dispute resolution",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-15",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/16",
      "kind": "article",
      "number": "16",
      "heading": "(Article 11(14)(b) of Regulation (EU) No 648/2012)Market conditions that prevent marking-to-market",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-16",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/17",
      "kind": "article",
      "number": "17",
      "heading": "(Article 11(14)(b) of Regulation (EU) No 648/2012)Criteria for using marking-to-model",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-17",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/18",
      "kind": "article",
      "number": "18",
      "heading": "(Article 11(14)(c) of Regulation (EU) No 648/2012)Details of the intragroup transaction notification to the competent authority",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-18",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
    },
    {
      "path": "article/19",
      "kind": "article",
      "number": "19",
      "heading": "(Article 11(14)(d) of Regulation (EU) No 648/2012)Details of the intragroup transaction notification to ESMA",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-19",
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      "status": null,
      "parent": "chapter/VIII"
    },
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      "path": "article/20",
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      "number": "20",
      "heading": "(Article 11(14)(d) of Regulation (EU) No 648/2012)Information on the intragroup exemption to be publicly disclosed",
      "url": "https://openlegislation.uk/eu-regulation-2013-149/article-20",
      "extent": "E+W+S+N.I.",
      "status": null,
      "parent": "chapter/VIII"
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      "heading": "Entry into force and application",
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      "status": null,
      "parent": "chapter/VIII"
    },
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      "path": "signature",
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      "number": null,
      "heading": "Signature",
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      "status": null,
      "parent": null
    }
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