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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Short Selling Q&A PDF
873.32 KB
10/06/2013 2013/619 Annex II Comparative table of responses from EEA States Prospectus Report PDF
2.15 MB
10/06/2013 2013/619 Annex III Individual responses from EEA States Prospectus Report PDF
2.63 MB
2013-619_report_liability_regimes_under_the_prospectus_directive_published_on_website.pdf
01/07/2015 2015/1005 Questions and Answers: Investment-based crowdfunding: money laundering/terrorist financing Innovation and Products Q&A PDF
157.73 KB
01/02/2016 2016/174 Final Report on CSDR RTS on settlement discipline Post Trading Report PDF
1.59 MB
01/02/2016 2016/174/Annex IV Impact assessment on CSDR RTS on settlement discipline Post Trading Report PDF
1.39 MB
29/04/2016 2016/665 Q&A on ESMA’s EU-wide stress tests for CCPs Post Trading Q&A PDF
269.98 KB
28/07/2016 2016/1170 Report on EEA prospectus activity in 2015 Corporate Disclosure, Prospectus Report PDF
674.63 KB
04/10/2016 2016/1415 ESMA reporton on securities financing transactions and leverage in the EU Post Trading, Risk Analysis & Economics - Markets Infrastructure Investors Report PDF
1.94 MB
21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF Corporate Disclosure, European Single Electronic Format, Transparency Report PDF
6.98 MB
22/12/2016 2016/1683 Peer Review on CCPs' Margin and Collateral requirements Post Trading Report PDF
543.98 KB
18/01/2017 ESAS-2017-82 Report on the functionning of the CRR with the related obligations under EMIR Post Trading Report PDF
602.75 KB
23/03/2017 ESMA70-708036281-8 Final Report on guidelines on participant default rules and procedures under CSDR Post Trading Report PDF
608.18 KB
23/03/2017 ESMA70-708036281-7 Final Report on CSDR Guidelines on Access by a CSD to the Transaction Feeds of a CCP or of a Trading Venue under CSDR Post Trading Report PDF
344.18 KB
31/03/2017 ESMA70-708036281-82 Final Report on Technical standards under SFTR and certain amendments to EMIR Post Trading Report PDF
3.61 MB
07/06/2017 ESMA50-158-457 ESMA response to the Commission Consultation Paper on Fintech: A more competitive and innovative financial sector Innovation and Products Report PDF
712.26 KB
  1. ESMA welcomes the opportunity to respond to the Commission Consultation paper on Fintech: a more competitive and innovative financial sector (hereafter “the Consultation”).
  2. Fintech and, technological innovation in general, have been the drivers of a number of developments in the financial sector in recent years. Indeed, new forms of services and businesses such as automated advice or crowdfunding have emerged. ESMA sees these developments as a positive evolution as long as they are aimed at improving consumer financial experience and facilitate financial inclusion. ESMA would also want to stress that it adheres to the core principles (technological neutrality, proportionality and market integrity) highlighted by the Commission and agrees that any EU policies aiming to ensure the financial sector takes advantage of cutting-edge technologies, while remaining sound and safe for investors, need to integrate these principles.
  3. In this response, ESMA wishes to share with the Commission some reflections on a number of topics mentioned in the Consultation which appear relevant to ESMA:
    • Artificial intelligence and big data analytics for automated advice and businesses;
    • Crowdfunding;
    • Reg Tech;
    • Outsourcing and cloud computing;
    • Distributed ledger technology;
    • Role of regulation and supervisors; and
    • Role of industry: standards and interoperability
03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 Corporate Finance, Prospectus Report PDF
475.66 KB
14/12/2017 ESMA70-151-957 MiFID II Q&A on post-trading issues MiFID - Secondary Markets, Post Trading Q&A PDF
280.02 KB
02/02/2018 ESMA70-151-1154 EU-wide CCP Stress Test 2017 Post Trading Report PDF
4.72 MB
02/02/2018 ESMA70-151-1179 Questions and Answers ESMA CCP Stress Test Post Trading Q&A PDF
694.47 KB

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