| From 18/10/2013 to 15/11/2013 |
ESMA’s Technical Advice to the Commission on procedural rules to impose fines on Trade Repositories |
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| Summary |
Responding to this paper
The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered in this paper.
Comments are most helpful if they:
• respond to the question stated;
• indicate the specific question to which the comment relates… |
| Documents |
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| From 19/07/2013 to 31/10/2013 |
Guidelines on enforcement of financial information |
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SEE RESPONSES |
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| Summary |
Responding to this paper
The European Securities and Markets Authority (ESMA) is seeking comments on all matters covered in this paper and in particular on the specific questions summarised in Annex 1.
Comments are most helpful if they:
respond to the question stated;
… |
| Documents |
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| From 17/07/2013 to 16/09/2013 |
Draft Regulatory Technical Standards on contracts having a direct, substantial and foreseeable effect within the Union and non-evasion of provisions of EMIR |
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SEE RESPONSES |
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| Summary |
The European Securities and Markets Authority (ESMA) has launched a consultation on draft regulatory technical standards (RTS) aimed at implementing the provisions of the European Markets Infrastructure Regulation (EMIR) related to OTC derivative transactions by non-European Union (EU)… |
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| From 12/07/2013 to 16/09/2013 |
Discussion Paper - The Clearing Obligation under EMIR |
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SEE RESPONSES |
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| Summary |
This template is made available to stakeholders who wish to respond to ESMA’s Discussion Paper on the Clearing Obligation under EMIR, reference ESMA/2013/925.
ESMA would like stakeholders to use the template in order to facilitate the analysis of the responses to this consultation. However… |
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| From 10/07/2013 to 10/10/2013 |
Discussion Paper on CRA3 Implementation |
Credit Rating Agencies |
SEE RESPONSES |
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| Summary |
The European Securities and Markets Authority (ESMA) has published a Discussion Paper dealing with the implementation of the CRA3 Regulation, which entered into force on 20 June 2013.
The Regulation, which complements the existing regulatory framework for credit rating agencies (CRAs),… |
| Documents |
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| From 08/07/2013 to 09/09/2013 |
Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID) |
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SEE RESPONSES |
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| Summary |
Contact
mifid[at]esma.europa.eu
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| Documents |
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| From 24/05/2013 to 01/07/2013 |
Consultation on guidelines on AIFMD reporting obligations |
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SEE RESPONSES |
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| From 15/03/2013 to 28/06/2013 |
Consultation on RTS on specific situations that require the publication of a supplement to the prospectus |
Prospectus |
SEE RESPONSES |
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| Summary |
The Consultation Paper sets out a draft Regulatory Technical Standard concerning situations that require the systematic publication of a supplement to the prospectus which the European Securities and Markets Authority (ESMA) is obliged to develop in accordance with Article 16(3) of the… |
| Documents |
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| From 20/02/2013 to 06/03/2013 |
Consultation on ESMA’s Technical Advice to the Commission on Fees for Trade Repositories |
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SEE RESPONSES |
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| Summary |
On 14 January 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) by a delegated act. (Annex I)
In order to deliver its advice to the… |
| Documents |
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| From 12/02/2013 to 15/03/2013 |
Call for evidence on the evaluation of the Regulation on short selling and certain aspects of credit default swaps |
Short Selling |
SEE RESPONSES |
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| Summary |
In order to prepare its technical advice on the effects of the SSR, ESMA is inviting investors, market participants and any other interested stakeholders to provide responses to the questions outlined in the Call for Evidence by 15 March.ESMA’s advice is expected to be delivered to the EC by 31… |
| Documents |
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| From 11/01/2013 to 15/02/2013 |
Consultation on Principles for Benchmarks-Setting Processes in the EU |
Benchmarks |
SEE RESPONSES |
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| Summary |
In response to concerns regarding the perceived weaknesses in current arrangements for benchmark rate-setting, ESMA and the EBA have also developed a set of Principles to address the activities of reference-rate and other benchmark providers, administrators, publishers and market participants… |
| Documents |
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| From 20/12/2012 to 31/01/2013 |
Consultation on Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements |
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SEE RESPONSES |
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| Summary |
This paper is published to consult on draft ESMA guidelines issued in accordance with Article 16(2) of Regulation (EU) No 1095/2010 (ESMA Regulation) and as required under Article 54(4) of Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories (the Regulation… |
| Documents |
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| From 20/12/2012 to 20/02/2013 |
Consultation on Guidelines and recommendations on the scope of the CRA Regulation |
Credit Rating Agencies |
SEE RESPONSES |
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| Summary |
Consultation on Guidelines and recommendations on the scope of the CRA Regulation
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| Documents |
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| From 19/12/2012 to 01/02/2013 |
Consultation on Draft regulatory technical standards on types of AIFMs |
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SEE RESPONSES |
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| Summary |
Article 4(4) of the AIFMD (see Annex II to this paper for the full text of this Article) provides that ESMA shall develop draft regulatory technical standards (RTS) to determine types of AIFMs, where relevant in the application of the AIFMD, and to ensure uniform conditions of application of the… |
| Documents |
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| From 19/12/2012 to 01/02/2013 |
Consultation on Guidelines on key concepts of the AIFMD |
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SEE RESPONSES |
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| Summary |
On 23 February 2012, ESMA published a discussion paper on key concepts of the Alternative Investment Fund Managers Directive and types of AIFM (ESMA/2012/117) which covered a number of topics relevant inter alia for the development of the draft regulatory technical standards (RTS) that ESMA… |
| Documents |
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| From 01/10/2012 to 21/12/2012 |
Consultation on amendments to ESMA's recommendations regarding mineral companies |
Prospectus |
SEE RESPONSES |
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| Summary |
In March 2011 ESMA updated and revised paragraphs 131-133 of the CESR Recommendations on the con-sistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Di-rective (hereinafter the “Recommendations”) which address the information that should be disclosed by… |
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| From 17/09/2012 to 07/12/2012 |
Consultation on Guidelines on remuneration policies and practices (MiFID) |
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SEE RESPONSES |
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| Summary |
The Guidelines aim to strengthen investor protection by seeking to improve the implementation of the MiFID rules on conflicts of interest, and thereby preventing mis-selling of products. The Guidelines will apply to investment firms, credit institutions, fund management companies when… |
| Documents |
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| From 17/09/2012 to 05/10/2012 |
Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps |
Short Selling |
SEE RESPONSES |
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| Summary |
The purpose of these guidelines is to:
- Assist the notifying entity in the notification process, by specifying and describing the con-tent of the written notification and providing a template notification form;- Develop a common approach to submitting the notification form, assessing… |
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| From 31/08/2012 to 05/10/2012 |
Joint consultation on Draft Regulatory Technical Standards on the uniform conditions of application of the calculation methods under Article 6.2 of the Financial Conglomerates Directive |
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SEE RESPONSES |
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| Summary |
Please send your comments to the EBA, EIOPA and ESMA by email to joint-committee@eba.europa.eu, jointcommittee@eiopa.europa.eu and joint.committee@esma.europa.eu by 05.10.2012, indicating the reference ‘JC CP 2012 02’ in the subject field.
Please note that comments submitted after the… |
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| From 25/07/2012 to 25/09/2012 |
Consultation on the treatment of repurchase and reverse repurchase agreements |
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SEE RESPONSES |
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| Summary |
ESMA is seeking views on the appropriate treatment of repo and reverse repo arrangements in the context of the guidelines on ETFs and other UCITS issues.
This consultation paper sets out ESMA’s proposal for the treatment of repo and reverse repo arrange-ments. ESMA proposes a distinct… |
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