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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/07/2020 ESMA42-111-4128 PEER REVIEW ON GUIDELINES ON ENFORCEMENT OF FINANCIAL INFORMATION- Country report DE , , Report PDF
285.02 KB
13/07/2018 ESMA31-62-996 Consultation Paper on Guidelines on Risk Factors Consultation Paper PDF
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13/07/2018 ESMA31-62-962 Consultation Paper on minimum information content for prospectus exemption Consultation Paper PDF
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03/07/2017 ESMA31-62-746 EEA prospectus activity in 2016 , Report PDF
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05/04/2017 ESMA31-54-435 Report on shareholder identification and communication systems , Report PDF
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03/01/2019 ESMA22-16-1603 SMSG End of Term Report 2018 Report PDF
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04/12/2017 ESMA22-106-535 SMSG Report on Access to public capital markets for SMEs Report PDF
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17/07/2020 ESMA22-106-2738 Own Initiative SMSG Report II on Covid-19 related Issues Report PDF
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01/04/2019 ESMA22-106-1731 SMSG Credit Ratings Disclosures advice Report PDF
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01/04/2019 esma22-106-1710 smsg_advice_on_stor_peer_review Report PDF
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25/03/2019 ESMA22-106-1684 SMSG advice on draft RTS amending the PRIIPs Delegated Regulation Report PDF
96.91 KB
26/03/2019 ESMA22-106-1683 SMSG advice on integrating sustainability risks and factors in MIFID, the UCITS Directive and AIFMD Report PDF
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17/07/2020 ESMA22-105-2740 SMSG- End of Term Report 2020 Report PDF
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29/09/2017 70-145-105 Draft Guidelines on non-significant benchmarks , Consultation Paper PDF
557.29 KB
01/07/2016 2016/SMSG/009 SMSG End of Term Report 2016 Report PDF
1.55 MB
31/05/2016 2016/732 Guidelines on participant default rules and procedures under CSDR , Consultation Paper PDF
450.56 KB

The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.

Contents

Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.

Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.

Next Steps

ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.

21/12/2016 2016/1668 2016-1668 ESMA feedback statement on ESEF , , Report PDF
6.98 MB
28/10/2016 2016/1529 Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders , Consultation Paper PDF
1.13 MB
25/09/2015 2015/1463 ESMA Consultation Paper on ESEF , , Consultation Paper PDF
2.34 MB
21/03/2014 2014/300 Draft Regulatory Technical Standards on major shareholdings and indicative list of financial instruments subject to notification requirements under the revised Transparency Directive , Consultation Paper PDF
883.94 KB
The European Securities and Markets Authority (ESMA) has launched a consultation on draft Regulatory Technical Standards (RTS) under the revised Transparency Directive relating to the notification of major shareholdings and the indicative list of financial instruments subject to notification requirements. The consultation runs until 30 May 2014. The revised Transparency Directive 2013/50/EC (TD) was published in the Official Journal of the European Union on 6 November 2013 and entered into force on 27 November 2013. ESMA is required to submit certain draft Regulatory Technical Standards (RTSs) on major shareholdings (for details on each RTS, see the relevant section) to the European Commission (Commission or EC) by 27 November 2014. According to Articles 10 and 15 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council establishing ESMA (ESMA Regulation), ESMA must conduct a public consultation before submitting draft RTSs to the Commission. This Consultation Paper (CP) therefore seeks stakeholders’ views on proposals for such RTSs. The input from stakeholders will help ESMA finalise the draft RTSs. Respondents to this CP are encouraged to consider the costs and benefits that the draft RTSs would imply and provide the relevant data to support their arguments or proposals. The CP also seeks stakeholders’ views on the proposed content of an indicative list of financial instru-ments referenced to shares and with economic effect similar to holding shares and entitlements to acquire shares. To respond