Databases and Registers
ESMA fulfils its mission to enhance investor protection and promote stable and orderly financial markets by facilitating access to relevant registers and statistical data for market participants, regulators and the general public.
This section provides references to the registers and financial market data that ESMA compiled on the basis of notifications and data provided by the relevant national competent authorities (NCAs) and information collected through ESMA’s supervisory activities.
A dedicated ESMA Registers portal is also available, and provides tailored search tools.
ESMA’s Code Repository includes a dedicated package that provides additional tools to search and download data from certain registers and databases.
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Benchmarks Regulation
| Database/Register | Description |
|---|---|
| Benchmark administrators | Database of benchmark administrators |
| Third country benchmarks | Database of third country benchmarks |
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Prospectus Regulation
| Database/Register | Description |
|---|---|
| Prospectus Documents | Prospectuses and related documents submitted by the National Competent Authorities – Search based on the documents characteristics |
| Prospectus Securities | Prospectuses and related documents submitted by the National Competent Authorities – Search based on the securities characteristics |
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Corporate reporting (Transparency Directive)
Hyperlinks to national databases (Officially Appointed Mechanisms, or “OAMs”) containing regulated information disclosed by issuers having shares admitted for trading on regulated markets
| EU country | National database |
|---|---|
| Austria - Operator | OeKB (Oesterreichische Kontrollbank AG) |
| Belgium - Operator | Competent Authority |
| Bulgaria - Operator | Competent Authority |
| Croatia - Operator | Competent Authority |
| Cyprus - Operator | Stock Exchange |
| Czechia - Operator | Competent Authority |
| Denmark - Operator | Competent Authority |
| Estonia - Operator | Competent Authority |
| Finland - Operator | Stock Exchange |
| France - Operator | Official Journal |
| Germany - Operator | Company Register |
| Greece - Operator | Stock Exchange |
| Hungary - Operator | Competent Authority |
| Iceland - Operator | Competent Authority |
| Ireland - Operator | Stock Exchange |
| Italy - Operator | 1Info and eMarket Storage (private entities) |
| Latvia - Operator | Competent Authority |
| Liechtenstein - Operator | Competent Authority |
| Lithuania - Operator | Stock Exchange |
| Luxembourg - Operator | Stock Exchange |
| Malta - Operator | Stock Exchange |
| Netherlands - Operator | Competent Authority |
| Norway - Operator | Stock Exchange |
| Poland - Operator | Competent Authority |
| Portugal - Operator | Competent Authority |
| Romania - Operator | Competent Authority |
| Slovakia - Operator | Competent Authority |
| Slovenia - Operator | Stock Exchange |
| Spain - Operator | Competent Authority |
| Sweden - Operator | Competent Authority |
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Crowdfunding (ECSPR)
| Database/Register | Description |
|---|---|
| Register of crowdfunding services providers | Register of crowdfunding services providers under Article 14 of the Crowdfunding regulation |
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Markets in Crypto-Assets Regulation (MiCA)
| Database/Register | Description |
|---|---|
| Interim MiCA Register | Articles 109 and 110 of the MiCA Regulation empower ESMA to publish a central register of crypto-asset white papers, authorised crypto-asset service providers, and non-compliant entities by 30 December 2024. The information displayed in the register is to be provided to ESMA by the relevant National Competent Authorities (NCAs) and the European Banking Authority (EBA). |
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Supervision (Credit rating agencies (CRA) Regulation, EMIR, SFTR, and STS)
| Database/Register | Description |
|---|---|
| Registered and certified credit rating agencies | List of registered and certified CRAs |
| Central repository (CEREP) statistics | Statistics on the rating activity and the rating performance (including default rates and transition matrices) of all registered or certified CRAs |
| Registered trade repositories (TR-EMIR) | List of registered TRs under EMIR |
| Registered trade repositories (TR-SFTR) | List of registered TRs under SFTR |
| Registred securitisation repositories | List of SRs registered in accordance with the Securitisation Regulation |
| European Rating Platform (ERP) | Individual credit ratings and rating outlooks of all registered and certified CRAs plus rating history details from 1 July 2015 onwards, press releases accompanying rating issuances and research reports for sovereign ratings. |
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Investment management (AIFMD, UCITS Directive, MMFR, EuVECA and EuSEF Regulation, ELTIF Regulation)
| Database/Register | Description |
|---|---|
| Investment Fund Managers | Register of authorised Alternative Investment Fund Managers (AIFMs) |
| Cross-border marketing of AIFs and UCITS | Register of cross-border marketing of AIFs and UCITS |
| Alternative Investment Funds (AIFs) exposures to commercial real estate 2017 | 2018 | 2019 | 2020 | 2021 | 2022 | 2024 | Data on AIFs exposures to commercial real estate in response to the ESRB Recommendation on closing real estate data gaps (ESRB/2016/14) |
| Money Market Funds (MMFs) | Register of authorised Money Market Funds (MMFs) |
| Categories of covered bonds and issuers of covered bonds | Categories of bonds referred to Article 52(4) of UCITS Directive, together with categories of issuers of those instruments |
| Undertakings for collective investment in transferable securities (UCITS) management companies | Register of UCITS management companies authorised by the NCAs |
| European Venture Capital Fund Managers (EuVECA) | Database listing all managers of qualifying venture capital funds with the qualifying venture capital funds that they market |
| European Social Entrepreneurship Fund Managers (EuSEF) | Databases of all managers of qualifying social entrepreneurship funds with the qualifying social entrepreneurship funds that they market |
| ELTIF | Register of authorised European long- term investment funds (ELTIFs) |
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Financial Instruments (MiFID II, MiFID II implementing Regulation, OMNIBUS Directive)
| Database/Register | Description |
|---|---|
| Annual transparency calculations for non-equity instruments | Annual transparency calculations for non-equity instruments as per (CDR) 2017/583 (RTS 2) |
| Commodity Derivatives Position Reporting (MiFID II art 58) | Database of weekly commitment of trader reports showing the aggregate positions held in commodity derivatives, emission allowances or derivatives thereof traded on a trading venue |
| MiFID II contact point information for NCAs | Contact points of national supervisory authorities for communication in the MiFID II framework on investor protection and intermediaries topics |
| List of extra-judicial mechanisms for consumers complaints (Art. 75 MiFID II) | List of extra-judicial complaints and redress procedures for the out-of-court settlement of consumer disputes concerning the provision of investment and ancillary services provided by investment firms |
| Data for the systematic internaliser calculations | Total number of transactions and total volume for the systemic internaliser calculations as per Commission Delegated Regulation (EU) 2017/565 |
| Data for the non-equity consolidated tape providers calculations | Total number of transactions and total volume of transactions for the non-equity consolidated tape providers calculations as per Commission Delegated Regulation (EU) 2017/571 |
| Financial Instruments Reference Database (FIRDS) | Database of instruments reference data collected under MAR Art.4 and MiFIR Art.27 |
| Financial Instruments Transparency System (FITRS) | Database of equity and non-equity transparency calculation results |
| Double volume cap mechanism data | Data on equity double volume cap calculations as established under MiFIR Article 5 |
| MiFID investment firms | List of investment firms authorised by the NCAs including information on their authorised services and activities and on published sanctions relating to these firms that may have been imposed by the NCAs |
| MiFID II position limits | List of critical or significant commodity derivatives and commodity derivatives with a MiFID II position limit |
| MiFID II/MiFIR TV/SI/DRSP | Database of MiFID2/MiFIR Trading venues/Systematic internalisers/Data Reporting Service providers |
| Register for trading obligation | List of derivative contracts that are subject to the trading obligation under the Markets in Financial Instruments Regulation (MiFIR). |
| Suspensions and removals of financial instruments from trading (Art. 32 and 52 MIFID II) | Register on suspensions and removals of financial instruments from trading, according to articles 32 and 52 of Directive 2014/65/EU (MIFID II). |
| Trading venues exempt from open access provisions (Article 36(5) MiFIR) | List of trading venues for which a temporary exemption from the open access provisions under Article 36(5) of the Markets in Financial Instruments Regulation (MiFIR) exists |
| Trading venues and CCPs exempt from open access provisions (Article 54(2) MiFIR) | List of trading venues and CCPs for which a temporary exemption from the open access provisions under Article 54(2) of the Markets in Financial Instruments Regulation (MiFIR) exists |
| Third-country trading venues for the purpose of transparency under MiFIR | Opinion determining third-country trading venues for the purpose of transparency under MiFIR |
| Third-country trading venues for the purpose of position limits under MiFID II | Opinion determining third-country trading venues for the purpose of position limits under MiFID II |
| List of branches of third-country firms authorised to provide investment services and activities in EU jurisdictions | List of branches of third-country firms authorised to provide investment services and activities in Members States of the European Union, according to Article 41(2) of MiFID II |
| List of EU Member States using the temporary exemption from the payment for order flow (PFOF) prohibition under the MiFIR review | In accordance with Article 39a(2) of MiFIR, a Member State in which, before 28 March 2024, investment firms receiving PFOF are established, may exempt investment firms under its jurisdiction from the prohibition laid down in Article 39a(1) until 30 June 2026, where those investment firms provide investment services to clients domiciled or established in that Member State. To apply this exemption, a Member State which fulfils the aforementioned condition shall notify ESMA by 29 September 2024 accordingly. |
| DPE Register | The MiFIR review introduced provisions empowering National Competent Authorities (NCAs) to grant the status of Designated Publishing Entity (DPE) to investment firms. According to Article 21a of MiFIR, DPEs, when they are party to a transaction, shall be responsible for making the transaction public through an approved publication arrangement (APA). The Regulation requires ESMA to establish by 29 September 2024 a public register of all DPEs, specifying their identity and the classes of financial instruments for which they act as DPEs. ▸ Further information |
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Short Selling (Regulation on short selling and certain aspects of credit default swaps)
| Database/Register | Description |
|---|---|
| Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR) | List of existing penalties and administrative measures applicable to infringements of the SSR in the Member States |
| List of exempted shares (having their principle trading venue located in a third country) | |
| Market makers and authorised primary dealers who are using the exemption under the SSR PDF | Excel | List of market makers and authorised primary dealers who are using the exemption under the SSR |
| National websites explaining the procedures for notifications of net short positions | List of hyperlinks to the websites containing the information about the national notifying procedures and the templates to use |
| National websites where net short positions in shares are disclosed | List of hyperlinks to the websites operated or supervised by the NCAs publishing net short position in shares |
| Net short position notification thresholds for sovereign issuers (1 May 2025) |
List of the thresholds applicable to the sovereign issuers for the purpose of the notification to the NCAs of significant net short position in sovereign debt According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt. The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer. In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment. The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage. Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities. |
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Post-trading (EMIR, Settlement Finality Directive, CSDR)
| Database/Register | Description |
|---|---|
| European Central Counterparties (CCPs) authorised to offer services and activities in the Union | List of CCPs authorised in the EU |
| List of third-country CCPs recognised to offer services and activities in the Union | List of third-country CCPs recognised in the EU |
| Public Register for the Clearing Obligation under EMIR | Register listing classes of OTC derivatives that CCPs are authorised to clear |
| CSD Register | List of Central Securities Depositories (CSDs) authorised or recognised under CSDR |
| Key relevant provisions of the corporate or similar law of a Member State, under which securities are constituted | Compilation of key relevant provisions of national corporate or similar law, under which securities are constituted |
| Designated payment and securities settlement systems | List of designated payment and securities settlement systems |
| List of Exempted Pension Schemes | List of pension scheme arrangements exempted from the clearing obligation |
| List of third-country markets considered as equivalent to a regulated market in the Union under EMIR | List of third country markets declared as equivalent for the purposes of the definition of OTC derivatives under EMIR |
| Trading Venues with the Highest Turnover for Bonds | Trading Venues with the Highest Turnover for Bonds - for CSDR Cash Penalties Calculation |
| List of post-trade risk reduction (PTRR) service providers | List of PTRR service providers notified to ESMA for the purpose of the exemption from the clearing obligation under EMIR |
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Tied Agents
The Omnibus Directive requires ESMA to publish on its website references or hyperlinks to the public registers of tied agents established by the Member States which decide to allow investment firms to appoint tied agents.
The list below contains the hyperlinks to the webpages of the EU countries and their national competent authorities giving access to the national registers of tied agents.
Investors should note that for some competent authorities the information is only available in the national language.
| EU country (National Competent Authority) | Link to the national registers of tied agents |
|---|---|
| Austria (Finanzmarktaufsicht – FMA) | |
| Belgium (FSMA) | |
| Bulgaria (Financial Supervision Commission) | |
| Croatia (Croatian Financial Services Supervisory Agency – CFSSA) | |
| Cyprus (Cysec) | |
| Czech Republic (Czech National Bank – CNB) | |
| Denmark (Finanstilsynet) | |
| Estonia (Estonian Financial Supervision Authority) | |
| Finland (Finanssivalvonta) | |
| France (Organisme pour le registre unique des intermédiaires en assurance, banque et finance - Orias) | |
| Germany (BaFin) | |
| Greece (Hellenic Capital Market Commission) | |
| Hungary (The Central Bank of Hungary (MNB)) | |
| Iceland (Financial Supervisory Authority – Fjármálaeftirlitið) | |
| Ireland (Central Bank of Ireland) | |
| Italy (Organismo di vigilanza e tenuta dell'albo unico dei Consulenti Finanziari – OCF)[1] | |
| Latvia (Financial and Capital Market Commission) | |
| Liechtenstein | |
| Lithuania (Central Bank of Lithuania) | |
| Luxembourg (CSSF) | |
| Malta (Financial Services Authority) | |
| Netherlands (AFM) | |
| Norway (Finanstilsynet) | |
| Poland (Polish Financial Supervision Authority) | |
| Portugal (Comissão do Mercado de Valores Mobiliários – CMVM) |
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| Romania (Romanian National Securities Commission – CNVM) | |
| Slovak Republic (Central Bank of Slovakia) | |
| Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev) | |
| Spain (Comisión Nacional del Mercado de Valores - CNMV) | |
| Sweden (Finansinspektionen) |
[1] The register is kept by OCF which is a legal person and is organised in the form of an association, with organisational and statutory autonomy; the OCF is supervised by CONSOB (see art. 31, paragraph 4, of Legislative Decree No. 58/1998).
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UCITS Management Companies
The Omnibus Directive requires ESMA to establish a list all authorisations granted to UCITS management companies in the European Union.
The Registries database centralises all the relevant information in this regard received from the national competent authorities, and contains information on the services or activities for which the UCITS management company is authorised. The database is updated on a regular basis.
Any national data not available in this consolidated registry, can be accessed via the links below to the national registers of authorised UCITS managment companies. ESMA draws users' attention to the fact that some hyperlinks do not give direct access to the list of UCITS management companies authorised. Also, investors should note that for some competent authorities the information is only available in the national language.
| EU country (National Competent Authority) | National register |
|---|---|
| Austria (Finanzmarktaufsicht – FMA) | German link English link |
| Belgium (FSMA) | Dutch link French link |
| Bulgaria (Financial Supervision Commission) | Link |
| Cyprus (Cysec) | Not applicable |
| Czechia (Czech National Bank – CNB) | Czech link English link |
| Denmark (Finanstilsynet) | Danish link English link |
| Estonia (Estonian Financial Supervision Authority) | Link |
| Finland (Finanssivalvonta) | Finnish link Swedish link English link |
| France (Autorité des marchés financiers – AMF) | Link |
| Germany (BaFin) | Link |
| Greece (Hellenic Capital Market Commission) | Link |
| Hungary (Hungarian Financial Supervisory Commission) | Link |
| Iceland (Financial Supervisory Authority – Fjármálaeftirlitið) | Link |
| Ireland (Central Bank of Ireland) | Link |
| Italy (Consob) | Link |
| Latvia (Latvijas Banka) | Latvian link English link |
| Liechtenstein | Link |
| Lithuania (Central Bank of Lithuania) | Lithuanian link English link |
| Luxembourg (CSSF) | Link |
| Malta (Financial Services Authority) | Link |
| Netherlands (AFM) | Dutch link English link |
| Norway (Finanstilsynet) | Norwegian link English link |
| Poland (Polish Financial Supervision Authority) | Polish link English link |
| Portugal (Comissão do Mercado de Valores Mobiliários – CMVM) | Link |
| Romania (Romanian National Securities Commission – CNVM) | Link |
| Slovakia (Central Bank of Slovakia) | Slovak link English link |
| Slovenia (Securities Market Agency – Agencija za trg vrednostnih papirjev) | Slovenian link English link |
| Spain (Comisión Nacional del Mercado de Valores - CNMV) | Link |
| Sweden (Finansinspektionen) | Swedish link English link |
| United Kingdom (Financial Conduct Authority – FCA) | Link |
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Other
| Database/Register | Description |
|---|---|
| Sanctions | Compilation of sanctions applied and published in Member States under CSDR, EMIR, MAD, MAR, MiFID, SFTR, UCITS, SECR, ECSPR, PRIIPs, SSR and PR. |
| Persons Discharging Managerial Responsibilities | List of national competent authorities that have increased the thresholds for the notification of transactions of persons discharging managerial responsibilities and closely associated persons |
| Enforcement actions | Overview of enforcement actions for Credit Rating Agencies and Trade Repositories |
| STS securitisations notifications | List of all securitisations that comply with the ‘Simple, Transparent, and Standardised’ (STS) criteria set out in the Securitisation Regulation (Regulation (EU) 2017/2402) |
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Other non-regulatory information
| Database/Register | Description |
|---|---|
| DVC completeness indicators | Data completeness indicators for trading venues detailing the delivery of double volume cap (DVC) |
| Bond liquidity completeness indicators | Data completeness indicators for bond liquidity |
| Calendar MiFID II/ MiFIR Transparency publications | Scheduled publication dates for data relevant for MIFID II / MiFIR transparency and systematic internalisers regime |
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