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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/10/2004 04-333f Which supervisory tools for the EU securities markets? Preliminary Progress Report ("Himalaya Report") CESR Archive Final Report PDF
297.64 KB		 The purpose of this preliminary analytical paper by the Committee of European Securities Regulators (CESR) is to contribute to the creation of an efficient EU single market for financial services. This consultative report is a first attempt to define how securities regulators can play their role in order to ensure full and consistent implementation as well as effective enforcement of all measures included in the Financial Services Action Plan in the area of securities, in the next five years. The work concentrates on the objective of securities regulators which are to maintain fair, transparent and secure securities market; it does not cover issues related to the prudential supervision of banks or insurance companies which are of fundamental different nature and focus. Please post your responses on the CESR website by 31 January 2005
22/03/2005 US Enforcement USA response to CESR survey on Enforcement Mechanisms CESR Archive Final Report PDF
3.83 MB
15/02/2005 US Equivalence USA reponse to questionnaire on GAAP Equivalence CESR Archive Final Report PDF
838.27 KB
04/07/2003 03-175c Third Meeting of the CESR Market Participants Consultative Panel CESR Archive Final Report PDF
1.08 MB		 Public statement on the Third meeting of the CESR Market Participants Consultative Panel held on 12th June 2003 in Paris.
25/09/2000 00-064c The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission MiFID - Secondary Markets Final Report PDF
84.28 KB		 Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org
13/12/2005 05-735 Tenth meeting of the Market Participants Consultative Panel CESR Archive Final Report PDF
132.93 KB
03/04/2018 ESMA31-62-800 Technical advice under the Prospectus Regulation Prospectus Final Report PDF
4.7 MB
09/08/2007 07-284b Technical advice on Non-equities transparency CESR Archive Final Report PDF
177.29 KB
05/07/2005 05-230b Technical advice on equivalence of certain third country GAAP and International Financial Reporting Standards CESR Archive Final Report PDF
1.01 MB		 CESR publishes today its final technical advice (Ref. CESR 05-230b) for the European Commission on equivalence between Canadian, Japanese and US General Accepted Accounting Practices (GAAP) and International Accounting Standards /International Financial Reporting Standards (IAS/IFRS). CESR
01/07/2009 09-472 Supplementary report on the programmes of Canada, India and South Korea to converge with or adopt IFRS, on the level of application of Chinese accounting standards by Chinese issuers and on the use of third county GAAPs CESR Archive Final Report PDF
2.67 MB
01/07/2013 2013/805 Supervisory Practices under MAD- Peer review report and Good Practices Market Abuse, Supervisory convergence Final Report PDF
1.17 MB		 ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD).  The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse.
01/07/2013 2013/806 Supervisory Practices under MAD- Mapping Report Market Abuse, Supervisory convergence Final Report PDF
315.44 KB		 ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive.
18/01/2011 2011/26 Summary Report on the mapping of contingency measures Supervisory convergence Final Report PDF
93.63 KB
23/05/2006 06-182 Summary report of the Review Panel’s Review of CESR Members Implementation of CESR’s guidelines on the transitional provisions of the amending UCITS Directives CESR Archive Final Report PDF
506.19 KB
10/05/2006 06-185 Summary of the self-assessments regarding the implementation of Standard N°1 on Financial Information CESR Archive Final Report PDF
1.14 MB		 To view the full results of hte self-assessments, please go to the section Review Panel Assessment
01/08/2002 02-159 Summary of the responses to the ESCB/CESR call for contributions on European clearing and settlement systems CESR Archive Final Report PDF
60.37 KB
20/04/2002 02-060 Summary of responses to the second consultation on Stabilisation and Allotment CESR Archive Final Report PDF
79.95 KB
28/10/2004 04-349 Summary of responses to the consultation on the Role of CESR at “Level 3” Under the Lamfalussy Process CESR Archive Final Report PDF
120.6 KB
17/10/2008 08-514b Summary of responses to Questionnaire on Transposition of the Transparency Directive CESR Archive Final Report PDF
84.13 KB
20/11/2007 07-753 Summary of key points for retail investors arising from CESR consultation on key investor information disclosures for UCITS CESR Archive Final Report PDF
87.32 KB

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