ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 10/09/2012 | 2012/557 PT | A ESMA alerta os investidores para os riscos dos investimentos online | Warnings and publications for investors | Investor Warning | PDF 336.1 KB |
A ESMA alerta os investidores para os riscos dos investimentos online | |||
| 12/01/2012 | 2012/3 | Annual report on the application of the Regulation on credit rating agencies as provided by Article 21(5) and Article 39a of the Regulation (EU) No 1060/2009 as amended by Regulation No 1095/2010 | Credit Rating Agencies | Final Report | PDF 141.98 KB |
This is the first report under the new CRA regulation, however, please note that CESR published a report about the application of the Regulation in the EU and, in particular, on the implementation of the requirements established in Annex I of the Regulation on 6 December 2010 (CESR/10-1424), according to Article 21(4) of the Regulation which was subsequently amended by Regulation No (EC) 513/2011. At the time of publication, 16 CRA's have been registered. | |||
| 18/03/2013 | 2013/308 | Annual report on the application of the Regulation on credit rating agencies- 2012 | Credit Rating Agencies | Final Report | PDF 601.08 KB |
This is the second annual report on the application of the Credit Rating Agencies Regulation. | |||
| 07/02/2014 | 2014/154 LV | Ar ieguldījumiem sarežģītos produktos saistītie riski | MiFID - Investor Protection, Warnings and publications for investors | Investor Warning | PDF 435.59 KB |
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| 10/09/2012 | 2012/557 HU | Az Európai Értékpapírpiaci Hatóság (ESMA) az online befektetések buktatóira figyelmezteti a lakossági befektetőket | Warnings and publications for investors | Investor Warning | PDF 578.5 KB |
Az Európai Értékpapírpiaci Hatóság (ESMA) az online befektetések buktatóira figyelmezteti a lakossági befektetőket | |||
| 07/02/2014 | 2014/154 HU | Az összetett termékekbe történő befektetések kockázatai | MiFID - Investor Protection, Warnings and publications for investors | Investor Warning | PDF 384.08 KB |
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| 18/04/2013 | 2013/267 LV | Cenu starpības līgumiem (CFD) | Warnings and publications for investors | Investor Warning | PDF 456.82 KB |
Cenu starpības līgumiem (CFD) | |||
| 18/04/2013 | 2013/267 SV | CFD-Kontrakt | Warnings and publications for investors | Investor Warning | PDF 289.47 KB |
CFD-Kontrakt | |||
| 10/06/2013 | 2013/619 | Comparison of liability regimes in Member States in relation to the Prospectus Directive | Prospectus, Corporate Disclosure | Final Report | PDF 596.91 KB |
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive. This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states. The report does not cover how the regimes, or sanctions, are applied. Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States | |||
| 18/04/2013 | 2013/267 RO | Contracte pentru diferentă (CFD-uri) | Warnings and publications for investors | Investor Warning | PDF 347.86 KB |
Contracte pentru diferentă (CFD-uri) | |||
| 28/02/2013 | 2013/267 | Contracts for Difference (CFDs) | MiFID - Investor Protection, Warnings and publications for investors | Investor Warning | PDF 389.45 KB |
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| 18/04/2013 | 2013/267 NL | Contracts for difference (CFDs) | Warnings and publications for investors | Investor Warning | PDF 441.01 KB |
Contracts for difference (CFDs) | |||
| 18/04/2013 | 2013/267 PT | Contratos diferenciais (CFD) | Warnings and publications for investors | Investor Warning | PDF 315.37 KB |
Contratos diferenciais (CFD) | |||
| 18/04/2013 | 2013/267 ES | Contratos por Diferencias (CFD) | Warnings and publications for investors | Investor Warning | PDF 270.64 KB |
Contratos por Diferencias (CFD) | |||
| 18/04/2013 | 2013/267 FR | Contrats sur différence (CFD) | Warnings and publications for investors | Investor Warning | PDF 386.18 KB |
Contrats sur différence (CFD) | |||
| 18/04/2013 | 2013/267 IT | Contratti per differenza (CFD) | Warnings and publications for investors | Investor Warning | PDF 416.5 KB |
Contratti per differenza (CFD) | |||
| 21/02/2014 | 2014/151 | Credit Rating Agencies Annual Report 2013 | Credit Rating Agencies | Final Report | PDF 507.61 KB |
The European Securities and Markets Authority (ESMA) has published its Annual Report 2013 (Report) on credit rating agencies (CRAs) in the European Union (EU). The Report also outlines ESMA’s supervisory work plan for this year. ESMA has found that CRAs continue to progress in how they comply with the CRA Regulation, including improved internal transparency and disclosure to the market on credit rating activities as well as empowerment of the compliance function. However, ESMA considers that improvements are still necessary, notably in the following areas: • validation of rating methodologies, to ensure that a credit rating assessment is a comprehensive risk assessment leading to high quality ratings; • internal governance, ensuring the full independence of the internal review function and thereby reducing the risk of potential conflict of interest; and • robust IT systems to support the rating process, including information security controls and protection of confidential rating information. These issues form the basis for much of ESMA’s supervision activities as outlined in its 2014 work plan. This includes the completion of the two on-going supervisory reviews into CRAs’ monitoring of structured finance ratings and into small and medium-sized CRAs. A new thematic investigation on how CRAs review and validate their rating methodologies will also be launched, as well as dedicated work on CRAs’ IT systems and controls. Following the entry into force of the amended CRA Regulation in June 2013, ESMA will also complete a specific assessment on CRAs’ compliance with the new regulatory requirements. | |||
| 10/09/2012 | 2012/557 NL | De Europese Autoriteit voor effecten en markten (ESMA) waarschuwt particuliere beleggers voor de valkuilen van online beleggen | Warnings and publications for investors | Investor Warning | PDF 512.32 KB |
De Europese Autoriteit voor effecten en markten (ESMA) waarschuwt particuliere beleggers voor de valkuilen van online beleggen | |||
| 06/01/2012 | 2011/412_de | Devisenhandel (Forex Trading) | Warnings and publications for investors | Investor Warning | PDF 40.15 KB |
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| 06/01/2012 | 2011/412_hu | Devizakereskedés (forex) | Warnings and publications for investors | Investor Warning | PDF 172.8 KB |