ESMA LIBRARY

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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
18/01/2011 2011/27 Press release- ESMA finds diversity across Europe in regulators’ contingency measures for financial crisis situations , Press Release PDF
31.5 KB
07/07/2011 2011/195 Press release- ESMA investigates how Member States have implemented the Transparency Directive , Press Release PDF
61.34 KB
12/10/2011 2011/339 Press release- ESMA Stakeholder Group elects Guillaume Prache as chair, Judith Hardt and Peter de Proft as vice-chairs , Press Release PDF
29.29 KB
28/10/2011 2011/SMSG/11 Response to ESMA's Consultation paper on guidelines on systems and controlsin a highly automated trading environment for trading platforms, investmentfirms and competent authorities SMSG Advice PDF
48.99 KB
28/10/2011 2011/SMSG/12 Position paper- ESMA's Consultation on systems and controls in a highly automated trading environment for trading platforms, investment firms and competent authorities SMSG Advice PDF
59.19 KB
28/10/2011 2011/SMSG/13 Advice on ESMA's draft technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Man-agers Directive in relation to supervision and third countries SMSG Advice PDF
88.23 KB
01/12/2011 2011/SMSG/18 Advice on ESMA's public consultation on UCITS Exchange traded funds in the European Union SMSG Advice PDF
149.17 KB
02/02/2012 2012/SMSG/6 Letter regarding deadlines for the submission of ESMA’s technical standards SMSG Advice PDF
82.35 KB
A letter from the ESMA Securities and Markets Stakeholder Group to Michel Barnier, Commissioner for Internal Market and Services, Sharon Bowles, Chair of ECON, and Klaus-Heiner Lehne, Chair of JURI, regarding deadlines for the submission of ESMA's technical standards.
28/02/2012 2012/SMSG/11 Advice on Guidelines on certain aspects of the MiFID suitability requirements SMSG Advice PDF
138.1 KB
28/02/2012 2012/SMSG/12 Advice on Guidelines on certain aspects of the MiFID compliance function requirements SMSG Advice PDF
83.35 KB
30/03/2012 2012/228 Draft technical standards on the Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Technical Standards PDF
1.02 MB
Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation)  requires ESMA to develop draft regulatory (RTS) and implementing technical standards (ITS) in relation to several provisions contained in Articles 9, 11, 12 and 16 of the Regulation. The draft RTS and ITS will be submitted to the European Commission by 31 March 2012. The Commission has three months to decide whether to endorse ESMAs draft technical standards. A further regulatory technical standard, on the method of calculation of the fall in value of a financial instrument required under Article 24(8) of the Regulation will be submitted together with the technical advice in the course of April 2012.
26/04/2012 2012/272 ESMA identifies divergence in Member States’ use of sanctions under the Market Abuse Directive , Press Release PDF
179.91 KB
The European Securities and Markets Authority (ESMA) has published a report on the use of administrative and criminal sanctions by European Union (EU) national regulators under the Market Abuse Directive (MAD).  The report provides a comparison of the use of administrative sanctioning powers across 29 EEA Member States for 2008-2010.  The results of the report will provide input to the legislative process on the new market abuse regime.
24/05/2012 2012/330 ESMA finds high level of consistency in EU national regulators’ practices for the approval of investment prospectuses , Press Release PDF
177.71 KB
The European Securities and Markets Authority (ESMA) has published today “Prospectus Directive – Good Practices in the approval process“,  a peer review report on the application of regulatory good practices by national supervisory authorities - competent authorities (CA)  when approving investment prospectuses.The review was conducted using good practice criteria that ESMA developed on selected areas of the Prospectus Directive dealing with the approval process for investment prospectuses.  The prospectuses provide investors with easy to understand and relevant information on investment products.  Peer review reports on national regulators’ procedures contribute to ESMA’s objective of fostering supervisory convergence and achieving a level playing field between jurisdictions.
06/07/2012 2012/424 ESMA publishes MiFID guidelines to enhance investor protection , Press Release PDF
118.08 KB
The European Securities and Markets Authority (ESMA) has today published two final sets of guidelines aimed at enhancing the protection of investors in the EU. The guidelines relate to the provisions under the Markets in Financial Instruments Directive (MiFID) relating to the suitability of investment advice and the compliance function.
17/09/2012 2012/581 ESMA proposes remuneration guidelines for firms providing investment services , Press Release PDF
130.32 KB
17/09/2012 2012/582 ESMA consults on market maker and primary dealer exemption for short selling , Press Release PDF
113.92 KB
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 Technical Standards PDF
1.88 MB
27/09/2012 2012/SMSG/60 SMSG advice on Guidelines on sound remuneration policies under the AIFMD SMSG Advice PDF
81.39 KB
12/10/2012 2012/SMSG/59 Securities and Markets Stakeholder Group – Report on Helping Small and Medium Sized Companies Access Funding SMSG Advice PDF
497.32 KB
01/02/2013 2013/167 ESMA issues guidelines on market-making and primary dealer exemptions , Press Release PDF
117.57 KB

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