Forms

EMIR Questionnaire (only for investment vehicles and managers of investment vehicles)

 

Notifications/applications for intragroup exemptions:

Intragroup exemption from the clearing obligation

Intragroup exemption from the exchange of collateral

   

Notifications by financial counterparties:

Notification for reporting disputes between counterparties

       

Notifications by non-financial counterparties: 

Notification by a non-financial counterparty to the CSSF that it is exceeding the clearing threshold 

Notification by a non-financial counterparty to the CSSF that it is no longer exceeding the clearing threshold 

Communication by a non-financial counterparty below the clearing threshold

 

Non-financial counterparties established in Luxembourg that exceed the clearing threshold and those that are no longer exceeding the clearing threshold are also required to notify ESMA. Templates for the notification to ESMA are available at: www.esma.europa.eu/regulation/post-trading/non-financial-counterparties-nfcs

 

For NFCs which are entities of a group, attention is drawn to the following clarifications provided in the ESMA Q&A (OTC Q.2 (c)): “For each Member State in which the group has legal entities which trade OTC derivatives, a notification should be submitted to the NCA once the group has exceeded the threshold. This notification must include, among other things, the names of all NFC group legal entities within that Member State which trade OTC derivatives. (The group should also submit a single notification to ESMA, listing all of the NFC group legal entities within the EU which trade OTC derivatives)”.

 

Thus please include only the counterparties established in Luxembourg in the notification to the CSSF.