ESMA LIBRARY
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Reset all filtersDate | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
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19/07/2012 | 2011/454 | MOU on the supervision of CRAs- ESMA and ASIC | Credit Rating Agencies, International cooperation | Reference | PDF 4 MB |
This document contains two copies of the MOU, signed by ESMA and by the ASIC. | |||
01/12/2011 | 2011/SMSG/15 | Summary of conclusions- SMSG meeting on 11 October 2011 | Securities and Markets Stakeholder Group | Reference | PDF 80.45 KB |
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19/10/2011 | 2011/SMSG/3 | Summary of conclusions- meeting of the SMSG on 21 July 2011 | Securities and Markets Stakeholder Group | Reference | PDF 59.38 KB |
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19/07/2012 | 2012/124 | MOU on the supervision of CRAs- ESMA and MAS | Credit Rating Agencies, International cooperation | Reference | PDF 574.14 KB |
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20/06/2012 | 2012/378 | Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading | MiFID - Secondary Markets | Reference | PDF 353.3 KB |
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience. | |||
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 |
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25/07/2012 | 2012/478 | ESMA MiFID database- description of webservice | MiFID - Secondary Markets | Reference | PDF 123.71 KB |
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases. | |||
01/08/2012 | 2012/490 | Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee | MiFID - Investor Protection | Reference | PDF 130.34 KB |
The deadline for responses to this call for interest has been extended two weeks, to 14 September 2012. | |||
19/10/2012 | 2012/682 | Guide to investing | MiFID - Investor Protection, Warnings and publications for investors | Reference | PDF 569.39 KB |
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19/12/2012 | 2012/850 | MiFID supervisory briefing- Suitability | MiFID - Investor Protection | Reference | PDF 238 KB |
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24/01/2012 | 2012/SMSG/1 | SMSG work programme for 2012 | Securities and Markets Stakeholder Group | Reference | PDF 58.17 KB |
This document sets out the work programme for 2012 which has been adopted by the Securities and Markets Stakeholder Group. It also sets out a preliminary work programme for 2013 which falls within the current Group’s mandate. | |||
04/05/2012 | 2012/SMSG/20 | SMSG meeting on 15-16 February 2012 | Securities and Markets Stakeholder Group | Reference | PDF 131.17 KB |
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20/08/2012 | 2012/SMSG/31 | Summary of conclusions 26/04/12 | Securities and Markets Stakeholder Group | Reference | PDF 135.39 KB |
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13/11/2012 | 2012/SMSG/44 | Summary of conclusions SMSG meeting 28/06/12 | Securities and Markets Stakeholder Group | Reference | PDF 198.96 KB |
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20/12/2012 | 2012/SMSG/53 | SMSG Annual Activity Report 2011-2012 | Securities and Markets Stakeholder Group | Reference | PDF 334.64 KB |
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20/12/2012 | 2012/SMSG/54 | SMSG 2013 Work Programme | Securities and Markets Stakeholder Group | Reference | PDF 252.8 KB |
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12/12/2012 | 2012/SMSG/62 | Summary of conclusions of the SMSG meeting on 12-13 September 2013 | Securities and Markets Stakeholder Group | Reference | PDF 188.21 KB |
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14/03/2013 | 2012/SMSG/72 | Summary of conclusions of the SMSG meeting on 23 November 2013 | Securities and Markets Stakeholder Group | Reference | PDF 146.34 KB |
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02/12/2013 | 2013/1792 | Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group | MiFID - Secondary Markets | Reference | PDF 98.24 KB |
Deadline for applications is 3 January 2014. | |||
16/12/2013 | 2013/1933 | CRAs’ Market share calculation according to Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 181.17 KB |