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Regulation 2015/2365/EU - Securities Financing Transactions Regulation (SFTR)RecitalsChapter I Subject Matter, Scope and Definitions (arts. 1-3)Article 1 Subject matterArticle 2 ScopeArticle 3 DefinitionsChapter II Transparency of SFTs (art. 4)Article 4 Reporting obligation and safeguarding in respect of SFTsChapter III Registration and supervision of a trade repository (arts. 5-12)Article 5 Registration of a trade repositoryArticle 6 Notification of and consultation with competent authorities prior to registration or extension of registrationArticle 7 Examination of the applicationArticle 8 Notification of ESMA decisions relating to registration or extension of registrationArticle 9 Powers of ESMAArticle 10 Withdrawal of registrationArticle 11 Supervisory feesArticle 12 Transparency and availability of data held in a trade repositoryChapter IV Transparency towards investors (arts. 13-14)Article 13 Transparency of collective investment undertakings in periodical reportsArticle 14 Transparency of collective investment undertakings in pre-contractual documentsChapter V Transparency of reuse (art. 15)Article 15 Reuse of financial instruments received under a collateral arrangementChapter VI Supervision and competent authorities (arts. 16-18)Article 16 Designation and powers of competent authoritiesArticle 17 Cooperation between competent authoritiesArticle 18 Professional secrecyChapter VII Relationship with third countries (19-21)Article 19 Equivalence and recognition of trade repositoriesArticle 20 Indirect access to data between authoritiesArticle 21 Equivalence of reportingChapter VIII Administrative sanctions and other administrative measures (arts. 22-28)Article 22 Administrative sanctions and other administrative measuresArticle 23 Determination of administrative sanctions and other administrative measuresArticle 24 Reporting of infringementsArticle 25 Exchange of information with ESMAArticle 26 Publication of decisionsArticle 27 Right of appealArticle 28 Sanctions and other measures for the purpose of Articles 13 and 14Chapter IX Review (art. 29)Article 29 Reports and reviewChapter X Final provisions (arts. 30-33)Article 30 Exercise of delegated powersArticle 31 Committee procedureArticle 32 Amendments to Regulation (EU) No 648/2012Article 32a Accessibility of information on the European single access pointArticle 33 Entry into force and applicationAnnexDone at
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AI Summary of Article 2 Scope

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Version status: Amended | Document consolidation status: Updated to reflect all known changes
Version date: 23 March 2019 - onwards
Version 3 of 3

Article 2 Scope

1. This Regulation applies to:

(a) a counterparty to an SFT that is established:

(i) in the Union, including all its branches irrespective of where they are located;

(ii) in a third country, if the SFT is concluded in the course of the operations of a branch in the Union of that counterparty;

(b) management companies of undertakings for collective investment in transferable securities (UCITS) and UCITS investment companies in accordance with Directive 2009/65/EC;

(c) managers of alternative investment funds (AIFMs) authorised in accordance with Directive 2011/61/EU;

(d) a counterparty engaging in reuse that is established:

(i) in the Union, including all its branches irrespective of where they are located;

(ii) in a third country, where either:

 - the reuse is effected in the course of the operations of a branch in the Union of that counterparty, or

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