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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
77.92 KB		 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
108.69 KB		 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 shortselling@esma.europa.eu, 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: david.cliffe@esma.europa.eu
01/10/2012 2012/641 ESMA approves Axesor S.A. as a credit rating agency Credit Rating Agencies, Press Releases Statement PDF
83.07 KB
20/03/2013 2013/336 ESMA certifies Kroll Bond Rating Agency to operate in the EU Credit Rating Agencies Statement PDF
76.36 KB
24/04/2014 2013/922 Compliance table- suitability guidelines MiFID - Investor Protection, Guidelines and Technical standards Compliance table PDF
74.33 KB
24/04/2014 2013/923 Compliance table- compliance guidelines Guidelines and Technical standards, MiFID - Investor Protection Compliance table PDF
100.87 KB
07/10/2014 2014-1213 Guidelines compliance table for Guidelines on remuneration policies and practices (MiFID) MiFID - Investor Protection Compliance table PDF
122.41 KB
07/11/2014 2014/1345 ESMA certifies HR Ratings de México to operate in the EU Credit Rating Agencies Statement PDF
87.87 KB		 The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of HR Ratings de México, S.A. de C.V. (HR Ratings), a Mexican credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 7 November 2014.
24/11/2014 2014/1399 Public Statement- ESMA approves Moody’s Investors Service EMEA Limited as a credit rating agency Credit Rating Agencies Statement PDF
134.62 KB		 The European Securities and Markets Authority (ESMA) has approved the registration of Moody’s Investors Service EMEA Limited, based in the UK, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 24th November 2014. Moody’s Investors Service EMEA Limited’s registration as a CRA means that its credit ratings can be used for regulatory purposes under EU legislation. This is the seventh entity in the Moody’s Investors Service group to be registered as an EU Registered Credit Rating Agency.
12/12/2014 2014/1486 Public Statement- ESMA certifies Egan-Jones Ratings Co. to operate in the EU Credit Rating Agencies Statement PDF
88.76 KB		 The European Securities and Markets Authority (ESMA) has formally approved the certification in the European Union of Egan-Jones Ratings Co. (EJR), an U.S. American credit rating agency (CRA), under Article 16 of the CRA Regulation. The certification takes effect from 12 December 2014.EJR is headquartered in Haverford (Pennsylvania, USA) and is subject to registration, supervision and enforcement by the U.S. Securities and Exchange Commission as a “Nationally Recognized Statistical Rating Organization”.
07/05/2014 2014/477 ESMA approves EuroRating as a credit rating agency Credit Rating Agencies Statement PDF
75.01 KB		 The European Securities and Markets Authority (ESMA) has approved the registration of EuroRating Sp. z o.o., based in Poland, as a credit rating agency (CRA) under Article 16 of the CRA Regulation. The registration takes effect from 7 May 2014.
14/08/2015 2015/1261 Guidelines compliance table- Guidelines on the application of definitions C6 and C7 under MiFID I MiFID - Secondary Markets Compliance table
27/10/2015 2015/1605 Public Statement- INC Rating registration FINAL Credit Rating Agencies Statement PDF
136.3 KB
01/12/2015 2015/1778 Public Statement- Expert RA registration Credit Rating Agencies Statement PDF
123.49 KB
13/07/2016 2016/1122 Feedback Statement on the Discussion Paper on the validation and review of CRAs’ methodologies Credit Rating Agencies Statement PDF
477.03 KB
21/07/2016 2016/1159 Public notice- Infrigement by Fitch Credit Rating Agencies, Press Releases Statement PDF
324.96 KB
30/09/2016 2016/1408 ESMA appoints new chairs to Standing Committees Board of Supervisors, Fund Management, Market Integrity, MiFID - Investor Protection Statement PDF
141.3 KB

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:

  • Hannelore Lausch, Executive Director of the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin), Germany, will chair the Market Data Standing Committee;
  • Cyril Roux, Deputy Governor of the Central Bank of Ireland (CBI, will chair the Investment Management Standing Committee; and
  • Merel van Vroonhoven, Chair of the Autoriteit Financiële Markten (AFM), Netherlands, will chair the Investor Protection and Intermediaries Standing Committee.

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.
25/05/2016 2016/724 Requirements for reference data submission under Article 4 MAR Market Abuse, Market Integrity Statement PDF
88.1 KB
02/06/2016 2016/902 MiFID practices for firms selling financial instruments subject to the BRRD resolution regime MiFID - Investor Protection Statement PDF
259.47 KB
20/06/2016 2016/940 Statement by Steven Maijoor at ECON MiFID II/MiFIR Scrutiny Session, 21 June 2016 Speeches, MiFID - Secondary Markets Statement PDF
235.65 KB

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