| From 22/05/2014 to 01/08/2014 |
Discussion Paper on MiFID II/MiFIR |
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SEE RESPONSES |
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| Summary |
Who should read this paper?
This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms and credit institutions… |
| Documents |
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| From 22/05/2014 to 01/08/2014 |
Consultation Paper on MiFID II/MiFIR |
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SEE RESPONSES |
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| Summary |
Who should read this paper?
This document will be of interest to all stakeholders involved in the securities markets. It is primarily of interest to competent authorities and firms that are subject to MiFID II and MiFIR – in particular, investment firms and credit institutions… |
| Documents |
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| From 21/03/2014 to 30/05/2014 |
Draft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive |
Prospectus, Corporate Governance |
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 20/03/2014 to 22/05/2014 |
Draft Technical Standards for the Regulation on improving securities settlement in the European Union and on central securities depositories (CSD) |
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SEE RESPONSES |
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| Summary |
Responding to this paper
ESMA invites comments on all matters in this paper and in particular on the specific questions summarised in Annex IV. Comments are most helpful if they:
indicate the specific question to which the comment relates;
respond to the question stated;… |
| Documents |
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| From 13/02/2014 to 21/05/2014 |
ESMA Guidelines on Alternative Performance Measures |
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SEE RESPONSES |
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| Summary |
Reasons for publication
In October 2005, the Committee of European Securities Regulators (CESR), ESMA’s predecessor body, published a Recommendation on Alternative Performance Measures (“CESR Recommendation” CESR/05-178b). The CESR Recommendation was issued mainly in order to reinforce… |
| Documents |
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| From 11/02/2014 to 11/04/2014 |
Consultation Paper on CRA3 Implementation |
Credit Rating Agencies |
SEE RESPONSES |
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| Summary |
Responding to this paper
ESMA invites comments on all matters in this paper. Comments are most helpful if they:
contain a clear rationale;
include quantitative elements to support any concern; and
describe any alternatives ESMA should consider, including alternative… |
| Documents |
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| From 20/12/2013 to 31/01/2014 |
Revision of the provisions on diversification of collateral in ESMA’s guidelines on ETFs and other UCITS issues |
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SEE RESPONSES |
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| From 14/11/2013 to 27/01/2014 |
ESMA’s policy orientations on possible implementing measures under the Market Abuse Regulation |
Market Abuse, Market Integrity |
SEE RESPONSES |
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| Summary |
The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR).
MAR aims to enhance market integrity and investor protection. It will achieve… |
| Documents |
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| From 06/11/2013 to 07/02/2014 |
Draft guidelines for complaints-handling for the securities (ESMA) and banking (EBA) sectors |
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SEE RESPONSES |
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| Summary |
Reasons for publication
Consumers in the EU can purchase, and firms can offer, financial services and products in the investment, banking and insurance sectors across the EU Single Market. In order to increase market confidence of all participants, the Joint Committee of the three European… |
| Documents |
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| 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)… |
| Documents |
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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… |
| Documents |
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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… |
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