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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|04/01/2021||SSR sanctions||Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)||Short Selling||Reference||PDF
|02/10/2017||ESMA71-99-608||Annex (Template for the Assessment of Collective Suitability)||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|31/10/2016||2016/1529 ANNEX||Annex I- Template for the assessment of collective suitability||Guidelines and Technical standards, MiFID - Investor Protection||Reference||XLSX
|08/08/2014||2014/869 ES||Directrices sobre las obligaciones de información de los artículos 3(3)(d) y 24(1), (2y (4) de la DGFIA||Guidelines and Technical standards||Reference||PDF
|04/12/2019||ESMA31-59-1417||ESMA amendments to an RTS relating to the PR||Prospectus||Reference||PDF
|02/12/2021||ESMA42-646012687-331||ESMA Guidelines||Corporate Information, Guidelines and Technical standards||Reference||XLSX
|10/12/2012||ESMA SSR Review mandate||Formal request to ESMA for technical advice on the evalutation of the short selling regulation||Short Selling||Reference||PDF
|28/01/2021||ESMA32-384-5080||Languages accepted for scrutiny of the Prospectus and translation requirements for Summaries||Prospectus||Reference||PDF
|19/10/2012||2012/680||Links to national websites for the purpose of the notification of net short positions||Short Selling||Reference||PDF
|29/03/2021||ESMA50-164-770||Links to national websites where net short positions in shares are disclosed||Short Selling||Reference||PDF
|24/09/2021||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|23/10/2020||ESMA31-62-1193||List of prospectus thresholds||Corporate Disclosure, Corporate Finance, Prospectus||Reference||PDF
|11/08/2021||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|24/09/2021||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|01/02/2016||2016/200||MiFID registers- information about web service||Short Selling, MiFID - Secondary Markets||Reference||PDF
This document sets out the web service for the following registers:
Shares admitted to trading on regulation markets
Multilateral trading facilities
|08/11/2021||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.
|02/12/2021||ESMA42-110-812||Notifications of Compliance with Guidelines – Overview Table||Guidelines and Technical standards||Reference||XLSX
|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
|11/04/2019||ESMA31-62-780||Q&A on Prospectus Related Topics||Brexit, Corporate Disclosure, Corporate Finance, Corporate Governance, Corporate Information, Prospectus, Supervisory convergence||Q&A||PDF
|27/07/2021||ESMA31-62-1258||Q&As on the Prospectus Regulation||Prospectus||Q&A||PDF