ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 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 | |||
| 28/03/2011 | 2011/22 | Report- ESMA Data on Prospectuses Approved and Passported- July 2010 to December 2010 | Prospectus, Corporate Disclosure | Final Report | PDF 134.79 KB |
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| 22/12/2011 | 2011/461 | Final report- 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 1060/2009 | Credit Rating Agencies | Technical Standards | PDF 555.25 KB |
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| 22/12/2011 | 2011/462 | Final Report- Draft RTS on the assessment of compliance of credit rating methodologies with CRA Regulation | Credit Rating Agencies | Technical Standards | PDF 445.83 KB |
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| 22/12/2011 | 2011/463 | Final report- Regulatory technical standards on the information for registration and certification of credit rating agencies | Credit Rating Agencies | Technical Standards | PDF 444.79 KB |
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| 22/12/2011 | 2011/464 | Final report- Draft RTS on the content and format of ratings data periodic reporting to be requested from credit ratings agencies for the purpose of on-going supervision by ESMA | Credit Rating Agencies | Technical Standards | PDF 485.78 KB |
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| 12/01/2012 | 2012/3 | Annual report on the application of the Regulation on credit rating agencies as provided by Article 21(5) and Article 39a of the Regulation (EU) No 1060/2009 as amended by Regulation No 1095/2010 | Credit Rating Agencies | Final Report | PDF 141.98 KB |
This is the first report under the new CRA regulation, however, please note that CESR published a report about the application of the Regulation in the EU and, in particular, on the implementation of the requirements established in Annex I of the Regulation on 6 December 2010 (CESR/10-1424), according to Article 21(4) of the Regulation which was subsequently amended by Regulation No (EC) 513/2011. At the time of publication, 16 CRA's have been registered. | |||
| 22/03/2012 | 2012/207 | ESMA’s Report on the Supervision of Credit Rating Agencies | Credit Rating Agencies | Final Report | PDF 323.81 KB |
This report provides an overview of ESMA’s supervisory activity on Credit Rating Agencies (CRAs) registered in the European Union and summarises the results of ESMA’s first examination of the three groups of registered CRAs (Fitch Ratings, Moody's Investors Services, and Standard & Poor's Rating Services). The examination referred to in this document is the first step in an ongoing supervisory process conducted by ESMA and therefore does not represent a full scope investigation. The observations set forth in this Report refer to common issues affecting CRAs activities. As of the date of this document, ESMA has not determined whether any observation highlighted below constitutes a breach of the provisions of the Regulation. ESMA is still progressing in its assessment of the areas discussed in this Report. This Report is not based on a decision by ESMA’s Board of Supervisors; therefore it is published without prejudice to the possibility of further investigations which could lead to enforcement or supervisory actions. | |||
| 06/07/2012 | 2012/387 | Final report Guidelines on certain aspects of the MiFID suitability requirements | Guidelines and Technical standards, MiFID - Investor Protection | Final Report | PDF 444.15 KB |
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| 25/09/2012 | 2012/602 | ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 | Prospectus, Corporate Disclosure | Final Report | PDF 573.49 KB |
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| 25/09/2012 | 2012/603 | ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 431.12 KB |
NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2. Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012 | |||
| 27/09/2012 | 2012/600 | Draft technical standards under the Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC Derivatives, CCPs and Trade Repositories | Post Trading | Technical Standards | PDF 1.88 MB |
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| 27/09/2012 | 2012/600 Annex VIII | Impact assessment- Annex VIII of the Final report on draft Regulatory and Implementing Technical Standards on Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories | Post Trading | Final Report | PDF 2.32 MB |
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| 03/01/2013 | 2012/874 | Report to the European Parliament, the Council and the Commission on the budgetary implications of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | Post Trading | Final Report | PDF 526.73 KB |
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| 18/03/2013 | 2013/308 | Annual report on the application of the Regulation on credit rating agencies- 2012 | Credit Rating Agencies | Final Report | PDF 601.08 KB |
This is the second annual report on the application of the Credit Rating Agencies Regulation. | |||
| 10/06/2013 | 2013/619 | Comparison of liability regimes in Member States in relation to the Prospectus Directive | Prospectus, Corporate Disclosure | Final Report | PDF 596.91 KB |
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive. This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states. The report does not cover how the regimes, or sanctions, are applied. Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States | |||
| 14/06/2013 | 2013/741 | ESMA Data on Prospectuses Approved and Passported—January 2012 to December 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 457.11 KB |
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2012 to December 2012 (with a quarterly disclosure). | |||
| 08/08/2013 | 2013/1087 | Final Report on amended EMIR implementing technical standards | Post Trading | Technical Standards | PDF 335.07 KB |
The European Securities and Markets Authority (ESMA) has sent the European Commission a Final Report proposing an amendment to Article 5 of the Commission Implementing Regulation (EU) No.1247/2012 (ITS on reporting) on the format and frequency of reporting to trade repositories under EMIR. The amendment relates specifically to the reporting of exchange traded derivatives (ETDs) and proposes postponing the reporting start date by one year. Background Article 5 regards the reporting start date of derivatives to trade repositories, however the current dates do not include a specification of ETDs. This specification would be useful as there is a risk currently that reporting of ETDs is not harmonised unless further regulatory guidance is issued. Based on the need to ensure the consistent implementation of EMIR, ESMA considered that guidelines and recommendations should be developed in relation to this issue. A delay in the reporting date for ETD transactions will allow sufficient time for the development of the relevant guidelines and their implementation by counterparties, trade repositories and regulators. The European Commission has three months to decide whether to endorse ESMA’s draft implementing technical standards. |
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| 12/09/2013 | 2013/08/ODRG | Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements | Post Trading | Final Report | PDF 442.48 KB |
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| 02/10/2013 | 2013/1373 | ESMA Technical advice on equivalence of Australia- OTC and TR (Supplement) | Post Trading | Final Report | PDF 736.17 KB |