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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
15/07/2002 02-089b CESR’s Advice on possible Level 2 Implementing Measures for the proposed Market Abuse Directive Consultation Paper PDF
213.95 KB
28/10/2004 04-505 Consultation paper- Facilitating the implementation of the Market Abuse Directive Consultation Paper PDF
284.76 KB
02/11/2006 06-562 Consultation paper- Market Abuse Directive, Level 3 – second set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
110.17 KB
20/05/2008 08-274 Consultation paper- Market Abuse Directive Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
101.96 KB
03/10/2008 08-717 Consultation paper- MAD Level 3 – Third set of CESR guidance and information on the common operation of the Directive to the market Consultation Paper PDF
88.1 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.
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.
06/03/2012 JC/DP/2012/1 Joint Discussion Paper on Draft Regulatory Technical Standards on risk mitigation techniques for OTC derivatives not cleared by a CCP under the Regulation on OTC derivatives, CCPs and Trade Repositories Consultation Paper PDF
402.37 KB
EBA, EIOPA and ESMA (the ESAs) invite market participants and all interested stakeholders to provide their feedback on planned regulatory technical standards covering risk mitigation techniques for OTC derivatives not cleared by central counterparties. The EMIR Regulation (“the Regulation”) on OTC Derivatives, CCPs and trade repositories 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). The Regulation acknowledges that not all OTC derivatives would meet the necessary requirements to be centrally cleared. For this reason, it introduces provisions on risk mitigation techniques for OTC derivatives not cleared by a CCP.
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.
14/05/2012 JC/CP/2012/01 EBA, EIOPA and ESMA’s Joint Consultation Paper on its proposed response to the Commission’s Review of the Financial Conglomerates Directive Consultation Paper PDF
590.22 KB
31/08/2012 JC/CP/2012/02 Joint consultation paper on Draft Regulatory Technical Standards on the uniform conditions of application of the calculation methods under Article 6.2 of the Financial Conglomerates Directive Consultation Paper PDF
769.24 KB
Please send your comments to the EBA, EIOPA and ESMA by email to joint-committee@eba.europa.eu, jointcommittee@eiopa.europa.eu and joint.committee@esma.europa.eu by 05.10.2012, indicating the reference ‘JC CP 2012 02’ in the subject field. Please note that comments submitted after the deadline, or sent to another e-mail address will not be processed.
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
24/10/2012 JC/CP/2012/01 Responses Responses to the Joint CP on Financial Conglomerates Consultation Paper PDF
183.7 KB
25/10/2012 JC/CP/2012/02 Responses Responses to the second Joint CP on Financial Conglomerates Consultation Paper ZIP
4.54 MB
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
09/07/2013 2013/918 Draft Regulatory Technical Standards on information requirements for assessment of acquisitions and increases in holdings in investment firms (MiFID) Consultation Paper PDF
506.86 KB
Executive summary Reasons for publication Article 10b(4) of the Markets in Financial Instruments Directive (MiFID ) requires Member States to make publicly available the information necessary to carry out the assessment of a proposed acquirer of an investment firm. This information must be provided at the time of the initial notification. This information is aimed at ensuring that competent authorities are provided with adequate and proportionate information in order to assess the acquisition. Article 10a of MiFID, as amended by Article 6(4) of the Omnibus Directive , requires ESMA to draft regulatory technical standards (RTS) to establish an exhaustive list of information referred to in Article 10b(4) of MiFID. ESMA is required to submit the draft RTS to the European Commission (Commission) by 1 January 2014.   Contents The proposed RTS set out in this Consultation Paper (CP) are based on the CEBS, CESR and CEIOPS ‘Guidelines for the prudential assessment of acquisitions and increases in holdings in the financial sector required by Directive 2007/44/EC’ (3L3 Guidelines), as well as the report issued by the Commission (in February 2013) to the European Parliament, the Council, the European Economic and Social Committee, and the Committee of Regions on the application of Directive on acquisitions and increase of holdings in the financial sector. Section II explains the background to the proposals; Section III describes the proposals on the exhaustive list of information to be included by proposed acquirers in their notification. Annex I sets out the legislative mandate to develop draft RTS; Annex II sets out the cost-benefit analysis related to the draft RTS; Annex III lists the questions contained in this CP; and Annex IV sets out the full text of the draft RTS. Next steps ESMA will consider the responses it receives to this CP in Q4, and will finalise the draft RTS for submission to the Commission by 1 January 2014 for endorsement.

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