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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
|14/02/2020||SMSG 2020||SMSG application form 2020||Securities and Markets Stakeholder Group||Reference||DOCX
|18/11/2020||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.
|19/07/2013||MOU ACER ESMA||MoU between ESMA and ACER concerning the consultation and cooperation regarding their regulatory responsibilities in relation to EU wholesale energy market||MiFID - Secondary Markets||Reference||PDF
|03/03/2016||Mifid mapping||Mapping- fields in MiFID systems||MiFID - Secondary Markets||Reference||XLSX
This document provides a mapping of the fields between the old MiFID database http://mifiddatabase.esma.europa.eu/ and the lists available on the Registers portal http://registers.esma.europa.eu/publication/
|21/12/2020||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|21/12/2020||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|01/12/2015||JC/2015/079||2015 list of identified Financial Conglomerates||Joint Committee, MiFID - Investor Protection||Reference||PDF
|10/04/2019||JC 2019 26||Joint ESA advice on the need for legislative improvements relating to ICT risk management requirements||Innovation and Products, Joint Committee||Technical Advice||PDF
|10/04/2019||JC 2019 25||Joint ESA advice on the costs and benefits of developing a coherent cyber resilience testing framework for significant market participants and infrastructures||Innovation and Products, Joint Committee||Technical Advice||PDF
|23/05/2018||JC 2018 14 reply form||Reply form- Consultation Paper Securitisation/Emir clearing obligation||Post Trading, Securitisation||Reference||DOCX
|07/03/2017||FI17||Agenda Financial Innovation Day 2017||Innovation and Products||Reference||PDF
|29/09/2020||ESMA74-362-887||Response form- CP MiFID II MiFIR review transaction reporting reference data||MiFID - Secondary Markets||Reference||DOCX
|06/12/2017||ESMA71-99-669||ESMA MIFID and MAR Data Systems||Market Abuse, Market Integrity, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC||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
|27/03/2018||ESMA71-98-125||FAQ ESMA's product intervention measures in relation to CFDs and binary options offered to retail investors||MiFID - Investor Protection||Reference||PDF
|09/11/2018||ESMA70-156-785 Reply form||Reply form for the Call for evidence on periodic auctions for equity instruments||MiFID - Secondary Markets||Reference||DOCX
|09/11/2018||ESMA70-156-785||Call for evidence periodic auctions for equity instruments||MiFID - Secondary Markets||Reference||PDF
|13/07/2018||ESMA70-156-471||Response form for the Consultation Paper on the Amendment to RTS 11 (ESMA70-156-357)||MiFID - Secondary Markets||Reference||DOCX
|18/12/2020||ESMA70-156-4086||Response Form CP on Algorithmic Trading||MiFID - Secondary Markets, Trading||Reference||DOCX