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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
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
22/12/2011 2011/445 Consultation paper on guidelines on certain aspects of the MiFID suitability requirements Consultation Paper PDF
355.06 KB
22/12/2011 2011/446 Consultation paper on guidelines on certain aspects of the MiFID compliance function requirements Consultation Paper PDF
393.94 KB
24/01/2012 2012/30 Draft technical standards on the Regulation (EU) xxxx/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Consultation Paper PDF
245.84 KB
ESMA will consider the feedback it received to this consultation in February/March 2012 and expects to publish a final report and submission of the draft technical standards to the European Commission by 31 March 2012 for endorsement.
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.
15/02/2012 2012/98 ESMA's draft technical advice on possible Delegated Acts concerning the regulation on short selling and certain aspects of credit default swaps ((EC) No XX/2012) Consultation Paper PDF
429.17 KB
The purpose of this consultation is to seek comments on the technical advice that ESMA proposes to give to the European Commission on a number of possible delegated acts concerning the Regulation as listed in the Commission request for advice. These delegated acts should then be adopted in accordance with Article 290 of the Treaty of the Functioning of the European Union (TFEU). ESMA will consider the feedback it receives to this consultation and to the open hearing to be held on 29 February 2012 in March 2012 and expects to publish a final report and submission of the draft advice on Delegated Acts to the European Commission by mid-April 2012.
16/02/2012 2012/95 Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories Consultation Paper PDF
776.04 KB
The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces provisions to improve transparency and reduce the risks associated with the OTC derivatives market and establishes common rules for central counterparties (CCPs) and for trade repositories (TRs).  It has been identified that common rules are required in the case of CCPs in view of the shift of risk management from a bilateral to a central process for OTC derivatives and in the case of trade repositories because of the increase in information that needs to be reported to them. The Regulation delegates or confers powers to the Commission to adopt regulatory technical standards (RTS) and implementing technical standards (ITS) on a number of areas. This discussion paper covers the draft RTS and ITS which ESMA is required to develop. Following this discussion paper and on the basis of the relevant input received, ESMA will prepare draft technical standards to be included in the consultation paper which will most likely be published around summer 2012.
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
25/06/2012 2012/379 Draft Technical Standards for the Regulation on OTC Derivatives, CCPs and Trade Repositories Consultation Paper PDF
2.12 MB

This consultation paper includes the Regulatory and Implementing Technical Standards ESMA is required to draft under the Regulation of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). It covers implementing measures for the application of the clearing obligation for risk mitigation techniques, exemptions for non-financial counterparties and intra-group transactions, requirements for CCPs and reporting and disclosure obligations for trade repositories. 

17/09/2012 2012/570 Guidelines on remuneration policies and practices (MiFID) Consultation Paper PDF
508.33 KB
17/09/2012 2012/580 Exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps Consultation Paper PDF
307.31 KB
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
20/12/2012 2012/852 Guidelines for establishing consistent, efficient and effective assessments of interoperability arrangements Consultation Paper PDF
445.22 KB
11/01/2013 2013/12 Principles for Benchmarks-Setting Processes in the EU Consultation Paper PDF
259.33 KB
12/02/2013 2013/203 On the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Consultation Paper PDF
315.16 KB

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