REFINE YOUR SEARCH
Type of document
|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|23/03/2011||2011/67||Feedback statement- Consultation Paper on proposed amendments to CESR||Prospectus, Corporate Disclosure||CESR Document||PDF
|23/03/2011||2011/36||Public statement- Framework for third country prospectuses under Article 20 of the Prospectus Directive||Prospectus, Corporate Disclosure||Statement||PDF
|23/03/2011||2011/37||Public statement- ESMA statement on Israeli laws and regulations on prospectuses||Prospectus, Corporate Disclosure||Statement||PDF
|30/08/2012||2012/537||STATEMENT- Short Selling Regulation Update: Market Maker & Primary Dealer Exemption Notification Procedure||Short Selling, Market Integrity, Press Releases||Statement||PDF
|The European Securities and Markets Authority (ESMA) is publishing this notice to alert financial market participants to its upcoming consultation on the market making and authorised primary dealer exemption under the EU’s Short Selling Regulation (SSR) and the procedure to be followed by firms and regulators in dealing with notifications of intention to use the exemption.|
|13/09/2012||2012/577||ESMA publishes a Q&A on Short-Selling Regulation||Short Selling, Market Integrity||Statement||PDF
|The European Securities and Markets Authority (ESMA) has published a Q&A on the Implementation of the Regulation on short selling and certain aspects of credit default swaps.The purpose of the Q&A is to promote common supervisory approaches and practices amongst the EU’s national securities markets regulators on the requirements of the Short Selling Regulation once it comes into force on 1 November 2012. It will also provide clarity on the requirements of the new regime to market participants and investors.Issues addressed by the Q&AThe document provides responses to questions posed by market participants, national securities markets regulators, and the general public in relation to the practical application of the forthcoming Short Selling regime. It addresses issues related to:• territorial scope;• transparency requirements; • calculation of net short positions;• uncovered short sales; • and enforcement regime.Further InformationThe document is likely to be revised and updated before 1 November as new questions are received by ESMA.Technical queries on the application of the new regime should be addressed in writing to firstname.lastname@example.org, while further information can be found at http://www.esma.europa.eu/page/Short-selling. Notes for editors1. Questions & Answers – Implementation of the regulation on short selling and certain aspects of credit default swaps.2. Regulation on short selling and certain aspects of credit default swaps.3. ESMA is an independent EU Authority that was established on 1 January 2011 and works closely with the other European Supervisory Authorities responsible for banking (EBA), and insurance and occupational pensions (EIOPA), and the European Systemic Risk Board (ESRB).4. ESMA’s mission is to enhance the protection of investors and promote stable and well-functioning financial markets in the European Union (EU). As an independent institution, ESMA achieves this aim by building a single rule book for EU financial markets and ensuring its consistent application across the EU. ESMA contributes to the regulation of financial services firms with a pan-European reach, either through direct supervision or through the active co-ordination of national supervisory activity.Further information:David CliffeSenior Communications OfficerTel: +33 (0)1 58 36 43 24Mob: +33 6 42 48 29 06Email: email@example.com|
|20/03/2013||2013/318||Feedback Statement on proposed amendments to the ESMA update of the CESR recommendations for the consistent implementation of the Prospectuses Regulation regarding mineral companies||Prospectus, Corporate Disclosure, Transparency||CESR Document||PDF
|24/04/2014||2013/922||Compliance table- suitability guidelines||MiFID - Investor Protection, Guidelines and Technical standards||Compliance table||PDF
|24/04/2014||2013/923||Compliance table- compliance guidelines||Guidelines and Technical standards, MiFID - Investor Protection||Compliance table||PDF
|07/10/2014||2014-1213||Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID)||MiFID - Investor Protection||Compliance table||PDF
|25/05/2016||2016/724||Requirements for reference data submission under Article 4 MAR||Market Abuse, Market Integrity||Statement||PDF
|02/06/2016||2016/902||MiFID practices for firms selling financial instruments subject to the BRRD resolution regime||MiFID - Investor Protection||Statement||PDF
|30/09/2016||2016/1408||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection||Statement||PDF
The Board of Supervisors of the European Securities and Markets Authority (ESMA) has appointed the following individuals to serve as chairs of its standing committees:
The standing committees are expert groups drawn from ESMA staff and the national competent authorities for securities markets regulation in the Member States, and are responsible for the development of policy in their respective areas. The appointments are for a period of two years and commence with immediate effect.
|08/06/2017||ESMA70-145-104||Introductory statement for ECON meeting on level 2 Measures under the Benchmarks Regulation (BMR)||Market Integrity||Statement||PDF
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|29/09/2017||ESMA71-99-602||ESMA appoints new chairs to Standing Committees||Board of Supervisors, Corporate Disclosure, Corporate Finance, Corporate Information, Innovation and Products, Market Integrity, MiFID - Secondary Markets, Post Trading||Statement||PDF
|15/12/2017||ESMA71-99-910||Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients||MiFID - Investor Protection, Warnings and publications for investors||Statement||PDF
|13/03/2018||ESMA70-143-30||First meeting of the Euro Risk Free Rate Working Group – Steven Maijoor concluding remarks||Benchmarks||Statement||PDF
|30/05/2018||ESMA71-99-991||Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive||MiFID - Investor Protection, Warnings and publications for investors||Statement||PDF
|22/06/2018||ESMA 70-145-466 EC||Annex to ESMA response to the EC consultation on supervisory reporting fitness check||Market Integrity||Statement||PDF
|11/07/2018||ESMA70-145-941||Introductory statement for ECON scrutiny session on Level 2 measures under the EU Benchmarks Regulation||Market Integrity||Statement||PDF