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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|24/08/2007||VDP||VDP response||CESR Archive||Reference||PDF
|15/02/2005||US Equivalence||USA reponse to questionnaire on GAAP Equivalence||CESR Archive||Final Report||PDF
|22/03/2005||US Enforcement||USA response to CESR survey on Enforcement Mechanisms||CESR Archive||Final Report||PDF
|20/07/2022||SSR sanctions||Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)||Short Selling||Reference||PDF
|24/08/2007||SP||S&P response||CESR Archive||Reference||PDF
|23/03/2001||ResolutionStockholm||Stockholm Resolution||CESR Archive||Reference||PDF
|Resolution of the European Council on more effective securities market regulation in the European Union Stockholm, 23 March 2001|
|24/05/2013||request for technical advice||Request from the European Commission for ESMA’s technical advice on procedural rules for taking supervisory measures and imposing fines on trade repositories||Post Trading||Reference||PDF
|11/12/2015||Post-trading links||Links to key Post Trading documents||Post Trading||Reference||PDF
|18/05/2017||pkaspeech||Speech by Patrick Armstrong on The Adoption of RegTech within the Financial Services Industry||Innovation and Products||Speech||PDF
|21/08/2014||ODRG/1/2014||ODRG letter to FSB on barriers to reporting to trade repositories||Post Trading||Letter||PDF
|09/11/2015||ODRG/06/11/15||Report of the ODRG to the G20 Nov (06112015)||Post Trading||Reference||PDF
|07/11/2014||ODRG 7/11/14||Report of the OTC Derivatives Regulators Group (ODRG) to G20 Leaders on Cross-Border Implementation Issues||Post Trading||Reference||PDF
|24/08/2007||NVB-CRA||NVB response||CESR Archive||Reference||PDF
|06/11/2015||NFC no CT||Notification of NFC no longer exceeding the clearing threshold||Post Trading||Reference||XLSX
This notification may be submitted to ESMA (EMIRemail@example.com) preferably in Excel format, using the form hereby by a non-financial counterparty that no longer exceeds the clearing threshold for any of the following:
|04/08/2022||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
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.
|20/03/2017||mousca||MoU on CCP supervision with the UAE SCA||Post Trading||Reference||PDF
|20/03/2017||mourbi||MoU on CCP supervision with Reserve Bank of India||Post Trading||Reference||PDF
|20/03/2017||moudfsa||Previous MoU on CCP supervision with Dubai Financial Supervisory Authority||Post Trading||Reference||PDF
|19/07/2012||MOU SFC ESMA||MOU on the supervision of CRAs- ESMA and SFC Hong Kong||Credit Rating Agencies, International cooperation||Reference||PDF
|19/07/2012||MOU SEC ESMA||MOU on the supervision of CRAs- ESMA and SEC||Credit Rating Agencies, International cooperation||Reference||PDF