ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
20/06/2012 2012/378 Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading 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.
25/07/2012 2012/478 ESMA MiFID database- description of webservice 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 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 , Reference PDF
569.39 KB
31/10/2012 2012/718 Final annual accounts of ESMA for 2011 Reference PDF
841.35 KB
19/12/2012 2012/850 MiFID supervisory briefing- Suitability Reference PDF
238 KB
03/10/2013 2013/1355 ESMA 2014 Work Programme Reference PDF
852.81 KB
The European Securities and Markets Authority's (ESMA) 2014 Work Programme sets out ESMA’s planned activities and related budget for 2014.
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 Reference PDF
98.24 KB
Deadline for applications is 3 January 2014.
13/12/2013 2013/1928 Final annual accounts of ESMA for 2012 Reference PDF
2.65 MB
28/02/2013 2013/267 Contracts for Difference (CFDs) , Investor Warning PDF
389.45 KB
10/11/2016 2013/68c Protocol on the operation of ESMA MiFID Database final , Reference PDF
333.11 KB
29/11/2013 2013/998 DA Retningslinjer for modellen til aftalememorandum om høring, samarbejde og informationsudveksling vedrørende tilsyn med AIFMD-enheder , Reference PDF
241.03 KB
29/11/2013 2013/998 SL Smernice o vzorcu memoranduma glede posvetovanja, sodelovanja in izmenjave informacij v zvezi z nadzorom subjektov iz direktive UAIS , Reference PDF
246.77 KB
20/08/2014 2014/1089 Final annual accounts of ESMA for 2013 Reference PDF
789.56 KB
20/08/2014 2014/1090 Report on Budgetary and Financial Management for 2013 Reference PDF
411.2 KB
23/02/2015 2014/1200rev 2015 Work Programme Reference PDF
392.74 KB
The European Securities and Markets Authority (ESMA) has published its revised Work Programme for 2015. The revised programme, based on an approved budget of €33,601,402 and 137 Establishment Plan posts following the adoption of the EU Budget, sets out how ESMA intends to achieve its statutory objectives of investor protection and stable and orderly functioning markets through its operational activities of convergence, risk monitoring and analysis, the single rulebook and supervision.
06/11/2014 2014/1334 MiFID database- Contact emails of national competent authorities for market participants [updated] Reference PDF
138.29 KB

ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent.  Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid.

07/11/2014 2014/1344 ESMA Response to public consultation on the IAS Regulation , Reference PDF
305.48 KB

ESMA response to the European Commission consultation on the IAS Regulation

04/02/2014 2014/140 ESMA budget for 2014 Reference PDF
104.86 KB
07/02/2014 2014/154 Risks of investing in complex products , Investor Warning PDF
404.08 KB

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