ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 09/06/2010 | 10-333 | Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies | CESR Archive, Credit Rating Agencies | Technical Advice | PDF 4.59 MB |
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| 23/03/2011 | 2011/81 | Recommendations- ESMA update of the CESR recommendations on the consistent implementation of Commission Regulation (EC) No 809/2004 implementing the Prospectus Directive | Guidelines and Technical standards, Prospectus, Corporate Disclosure | Guidelines & Recommendations | PDF 593.19 KB |
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| 17/05/2011 | 2011/BS/123 | Decision of the Board of Supervisors- Appointment of the Securities and Markets Stakeholder Group | Board of Supervisors, Securities and Markets Stakeholder Group | Decision | PDF 171.3 KB |
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| 17/05/2011 | 2011/144 | Final advice- ESMA´s Technical Advice to the Commission on Fees for CRAs | Credit Rating Agencies | Technical Advice | PDF 1.72 MB |
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| 18/05/2011 | 2011/139 | Final report- Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Agencies Regulation No 1060/2009 | Credit Rating Agencies, Guidelines and Technical standards | Guidelines & Recommendations | PDF 653.98 KB |
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| 04/10/2011 | 2011/323 | Final report- ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU | Prospectus, Corporate Disclosure | Technical Advice | PDF 797.56 KB |
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| 19/12/2011 | 2011/BS/229 | Decision of the European Securities and Markets Authority establishing its Review Panel | Board of Supervisors, Corporate Information, Supervisory convergence | Decision | PDF 35.86 KB |
This decision establishes the Review Panel of ESMA and sets out its mandate. | |||
| 01/03/2012 | 2012/137 | ESMA’s technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU | Prospectus, Corporate Disclosure | Technical Advice | PDF 1.32 MB |
ESMA publishes today the second part of its final advice (ESMA/2012/137) on possible delegated acts for the Prospectus Directive (PD). The advice was submitted to the Commission on 29 February 2012. In its advice, ESMA proposes how to use a prospectus in a retail cascade and provides input on how to review the provisions of the Prospectus Regulation concerning tax information, indices, auditor’s report on profit forecasts and estimates and audited historical financial information. Today’s advice follows a public consultation started on 13 December 2011. Overall, the technical advice aims to achieve a high level of investor protection and to increase across Europe the legal clarity and efficiency of the prospectus regime. Investment prospectuses as such are aimed to provide investors with easily accessible information on financial products so as to foster in-formed decision-making. | |||
| 18/04/2012 | 2012/259 | Technical advice on CRA regulatory equivalence- US, Canada and Australia | Credit Rating Agencies | Technical Advice | PDF 697.78 KB |
On 12 June 2009 the European Commission requested CESR, now ESMA, to provide its technical advice on the equivalence between the legal and supervisory framework of Japan, The United States, and Canada with the EU regulatory regime for credit rating agencies. (Regulation (EC) No. 1060/2009 of the European Parliament and the Council on credit rating agencies ). On 17 November 2009, the Commission also requested CESR to provide its technical advice on Australia. On 28 September 2010, the European Commission published an equivalence decision on Japan. With regard to the compliance with the EU requirements on endorsement, ESMA had already indicated that it considers the legal and regulatory regime for CRAs supervision of the following countries as “as stringent as” the EU requirements: - On 22 December 2011, Japan and Australia; - On 15 March 2012, US, Canada, Hong Kong and Singapore. This report sets out ESMA’s advice to the European Commission in respect of the equivalence between the US (Part I), Canada (Part II) and Australia (Part III) respective legal and supervisory frameworks and the EU regulatory regime for credit rating agencies. | |||
| 20/04/2012 | 2012/236 | ESMA's Technical Advice on possible delegated acts of the short-selling and certain aspects of CDS | Short Selling, Market Integrity | Technical Advice | PDF 509.39 KB |
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| 22/06/2012 | 2012/382 | MiFID Q&A in the area of investor protection and intermediaries | MiFID - Investor Protection | Q&A | PDF 319.78 KB |
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| 06/07/2012 | 2012/387 en | Guidelines on certain aspects of the MiFID suitability requirements | MiFID - Investor Protection | Guidelines & Recommendations | PDF 298.21 KB |
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| 06/07/2012 | 2012/388 EN | Guidelines on certain aspects of the MiFID compliance function requirements | MiFID - Investor Protection | Guidelines & Recommendations | PDF 305.13 KB |
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| 06/07/2012 | 2012/388 | Guidelines on certain aspects of the MiFID compliance function requirements | MiFID - Investor Protection | Guidelines & Recommendations | PDF 442.44 KB |
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| 21/08/2012 | 2012/387 BG | Насоки относно определени аспекти на изискванията на MiFID за годност | MiFID - Investor Protection, Guidelines and Technical standards | Guidelines & Recommendations | PDF 357.81 KB |
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| 21/08/2012 | 2012/387 CS | Obecné pokyny k určitým aspektům požadavků směrnice MiFID ohledně vhodnosti | MiFID - Investor Protection, Guidelines and Technical standards | Guidelines & Recommendations | PDF 363.15 KB |
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| 21/08/2012 | 2012/387 DA | Retningslinjer for visse aspekter af egnethedskravene ifølge MiFID | MiFID - Investor Protection, Guidelines and Technical standards | Guidelines & Recommendations | PDF 341.81 KB |
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| 21/08/2012 | 2012/387 NL | Richtsnoeren met betrekking tot bepaalde aspecten van de MiFID-geschiktheidseisen | MiFID - Investor Protection, Guidelines and Technical standards | Guidelines & Recommendations | PDF 355.02 KB |
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| 21/08/2012 | 2012/387 ET | Finantsinstrumentide turgude direktiivi (MiFID) sobivusnõuete teatud aspektide suunised | MiFID - Investor Protection, Guidelines and Technical standards | Guidelines & Recommendations | PDF 328.4 KB |
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| 21/08/2012 | 2012/387 FI | Ohjeet rahoitusmarkkinadirektiivin soveltuvuusvaatimusten tietyistä näkökohdista | MiFID - Investor Protection, Guidelines and Technical standards | Guidelines & Recommendations | PDF 304.47 KB |