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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|09/09/2021||ESACD 2021||Programme for the joint ESA Consumer Day 2021||Innovation and Products, Joint Committee, MiFID - Investor Protection||Reference||PDF
|11/08/2021||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|11/08/2021||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|04/08/2021||Net short thresholds||Net short position notification thresholds for sovereign issuers||Short Selling||Reference||XLSX
According to Article 7(2) of the Short Selling Regulation, ESMA has to publish a list of the thresholds applicable to the sovereign issuers for the purpose of the notification to competent authorities of significant net short position in sovereign debt.
The way these notification thresholds are defined is further specified in the Commission Delegated Regulation No 918/2012 (the “DR”). The DR specifies that initial threshold categories shall be:
The additional incremental levels shall be set at 50% of the initial thresholds. The reporting thresholds shall be monetary amounts fixed by applying the percentage thresholds to the outstanding sovereign debt of the sovereign issuer. They will be revised and updated quarterly to reflect changes in the total amount of outstanding sovereign debt of each sovereign issuer.
In addition, the DR states that the amount of outstanding debt should be calculated using a duration adjusted approach. ESMA has published a Q&A document on how to proceed for the duration adjustment.
The table of thresholds contains the name of the sovereign issuer, the amount of outstanding debt duration adjusted, the initial threshold amount and the relevant percentage, the incremental threshold amount and the relevant percentage.
Please note that the figures of the amount of outstanding debt are duration adjusted (not nominal amounts) and are approximations provided by competent authorities.
|02/08/2021||CFA IPI 27/07/2021||Call for advice to the European Securities and Markets Authority (ESMA) regarding certain aspects relating to retail investor protection||MiFID - Investor Protection||Reference||PDF
|15/07/2021||ESMA 32-63-365||List of decisions published from the EECS’s Database of Enforcement||IFRS Supervisory Convergence||Reference||PDF
|02/07/2021||ESMA35-36-2319||Annex I Joint ESMA and EBA GL on the assessment of suitability of members of the management body||MiFID - Investor Protection||Reference||XLSX
|03/06/2021||ESMA32-65-324||Call for interest ESMA ECL Workshop||Corporate Disclosure, IFRS Supervisory Convergence||Reference||PDF
|28/05/2021||ESMA35-43-349||Q&As on MiFID II and MiFIR investor protection topics||MiFID - Investor Protection, Supervisory convergence||Q&A||PDF
|26/05/2021||ESMA70-156-4067 (response form)||CP Response form- Technical standards for commodity derivatives||COVID-19, MiFID - Secondary Markets||Reference||DOCX
|29/03/2021||ESMA50-164-770||Links to national websites where net short positions in shares are disclosed||Short Selling||Reference||PDF
|29/03/2021||ESMA35-43-2430 Final Report ESMA’s Technical Advice to the Commi||Technical Advice on the application of administrative and criminal sanctions under MiFID II/MiFIR||MiFID - Investor Protection||Technical Advice||PDF
|29/01/2021||ESMA32-61-438||ESMA response to EFRAG DEA IFRS 17||Corporate Finance, IFRS Supervisory Convergence||Reference||PDF
|15/01/2021||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|08/01/2021||ESMA35-43-1410||Contact points of national supervisory authorities for communication in the MiFID II framework on supervisory cooperation, authorisation, acquisitions and passporting||MiFID - Investor Protection||Reference||PDF
|04/01/2021||SSR sanctions||Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)||Short Selling||Reference||PDF
|04/01/2021||EU-UKFCA MoU||EU-UK FCA MoU on consultation, cooperation and exchange of information||Brexit, International cooperation||Reference||PDF
|04/01/2021||ESMA-UKFCA MoU||ESMA-UK FCA MoU on consultation, cooperation and exchange of information||Brexit, International cooperation||Reference||PDF
|09/11/2020||ESMA31-67-127||Question and answers on Transparency Directive (TD)||Brexit, Corporate Disclosure, Corporate Finance, Supervisory convergence, Transparency||Q&A||PDF
|12/10/2020||ESMA22-105-1230||Annex to Opening Statement for ECON Hearing 12 October 2020||Board of Supervisors, Brexit, Corporate Information, COVID-19, Speeches||Reference||PDF