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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 14/01/2011 | 2011/5 | Call for evidence- criteria for endorsement (Article 21 (2)(a) of the draft amended CRA Regulation) | Credit Rating Agencies | Consultation Paper | PDF 218.02 KB |
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| 18/03/2011 | 2011/97 | Consultation paper- ESMA Guidelines on the application of the endorsement regime under Article 4 (3) of the Credit Rating Regulation1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 273.66 KB |
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| 14/04/2011 | 2011/114 | Consultation paper- ESMA´s Technical Advice to the Commission on Fees for CRA Supervision | Credit Rating Agencies | Consultation Paper | PDF 95.52 KB |
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| 15/04/2011 | 2011/121 | Discussion paper- ESMA’s policy orientations on possible implementing measures under Article 3 of the Alternative Investment Fund Managers Directive | Fund Management | Consultation Paper | PDF 186.38 KB |
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| 26/05/2011 | 2011/155 | Call for evidence- assessment of compliance of credit rating agencies with Article 8.3 of the Credit Rating Agencies Regulation (1060/2009/EC) | Credit Rating Agencies | Consultation Paper | PDF 69.4 KB |
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| 26/05/2011 | 2011/156 | Call for evidence- ratings data periodic reporting requirements for CRAs according to Article 21 (3)(e) of the Draft Amended CRA Regulation | Credit Rating Agencies | Consultation Paper | PDF 88.95 KB |
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| 13/07/2011 | 2011/209 | Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive | Fund Management | Consultation Paper | PDF 2.82 MB |
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| 20/07/2011 | 2011/224 | Consultation paper- Guidelines on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities | MiFID - Secondary Markets | Consultation Paper | PDF 623.6 KB |
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| 22/07/2011 | 2011/220 | Discussion paper- ESMA’s policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS | Fund Management | Consultation Paper | PDF 211.79 KB |
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| 23/08/2011 | 2011/270 | Consultation paper- ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive in relation to supervision and third countries | Fund Management | Consultation Paper | PDF 154.97 KB |
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| 19/09/2011 | 2011/302 | Consultation paper- Regulatory technical standards on the information to be provided to ESMA by a credit rating agency in its application for registration and certification and for the assessment of its systemic importance | Credit Rating Agencies | Consultation Paper | PDF 276.02 KB |
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| 19/09/2011 | 2011/303 | Consultation paper- Regulatory technical standards on the assessment of compliance of credit rating method-ologies with the requirements set out in Article 8(3) of Regulation (EC) No 1060/2009 | Credit Rating Agencies | Consultation Paper | PDF 374.84 KB |
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| 19/09/2011 | 2011/304 | Consultation paper- ESMA’s draft Regulatory Technical Standards on the presentation of the information that credit rating agencies shall disclose in accordance with Article 11(2) and point 1 of Part II of Section E of Annex I to Regulation (EC) No 1060/2 | Credit Rating Agencies | Consultation Paper | PDF 182.29 KB |
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| 19/09/2011 | 2011/305 | Consultation paper- ESMA’s Draft Regulatory Technical Standards on the content and format of ratings data periodic reporting to be submitted from credit rating agencies | Credit Rating Agencies | Consultation Paper | PDF 264 KB |
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| 22/12/2011 | 2011/445 | Consultation paper on guidelines on certain aspects of the MiFID suitability requirements | MiFID - Investor Protection | Consultation Paper | PDF 355.06 KB |
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| 22/12/2011 | 2011/446 | Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements | MiFID - Investor Protection | Consultation Paper | PDF 393.94 KB |
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| 30/01/2012 | 2012/44 | ESMA’s guidelines on ETFs and other UCITS issues | Fund Management | Consultation Paper | PDF 420.17 KB |
In the summer of 2010 ESMA started looking into the operation of UCITS making use of the new investment freedoms introduced by the UCITS III Directive and the Eligible Assets Directive (2007/16/EC) in order to identify the possible impact on investor protection and market integrity. As part of this work, ESMA published a discussion paper on policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS on 22 July 2011 (ESMA/2011/220), responses to which were due by 22 September. This consultation paper represents the next stage in the development of ESMA guidelines in this area. ESMA will take into account responses to this consultation paper in finalising the guidelines for adoption in Q2 2012. | |||
| 21/02/2012 | 2012/113 | Questions and Answers- A Common Definition of European Money Market Funds- updated February 2012 | Fund Management | Q&A | PDF 83.79 KB |
The purpose of this document is to promote common supervisory approaches and practices in the application of the guidelines on a Common Definition of European Money Market Funds developed by CESR by providing responses to questions posed by the general public and competent authorities. The content of this document is aimed at competent authorities to ensure that in their supervisory activities their actions are converging along the lines of the responses adopted by ESMA. However, the answers are also intended to help management companies by providing clarity as to the content of CESR’s guidelines on a Common Definition of European Money Market Funds, rather than creating an extra layer of requirements. | |||
| 23/02/2012 | 2012/117 | Discussion paper on Key concepts of the Alternative Investment Fund Managers Directive and types of AIFM | Fund Management | Consultation Paper | PDF 359.52 KB |
This document will be of interest to asset management companies and trade associations of asset management companies managing funds falling in the scope of the Alternative Investment Fund Managers Directive. Responses to this discussion paper will help ESMA in finalising its policy approach. In light of the feedback received, ESMA will develop a consultation paper in Q2 2012 setting out formal proposals for draft regulatory technical standards on Article 4(4) of the AIFMD. The results of that public consultation will be used by ESMA in finalising the draft regulatory technical standards to be submitted to the European Commission for endorsement by the end of 2012. | |||
| 22/06/2012 | 2012/382 | MiFID Q&A in the area of investor protection and intermediaries | MiFID - Investor Protection | Q&A | PDF 319.78 KB |