ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 11/05/2005 | 05-274 | Feedback Statement- Market Abuse Directive, Level 3 – first set of guidance and information on the common operation of the Directive | Market Abuse | Final Report | PDF 79.76 KB |
http://www.cesr-eu.org/data/document/05_274.pdf | |||
| 22/11/2007 | 07-693 | Report on Administrative Measures and Sanctions available in Member States under the Market Abuse Directive (MAD) | Market Abuse | Final Report | PDF 3.44 MB |
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| 28/02/2008 | 08-099 | CESR Executive summary to the report on administrative measures and sanctions as well as the criminal sanctions available in Member States under the Market Abuse Directive | Market Abuse | Final Report | PDF 874.1 KB |
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| 28/03/2011 | 2011/22 | Report- ESMA Data on Prospectuses Approved and Passported- July 2010 to December 2010 | Prospectus, Corporate Disclosure | Final Report | PDF 134.79 KB |
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| 22/06/2012 | 2012/382 | MiFID Q&A in the area of investor protection and intermediaries | MiFID - Investor Protection | Q&A | PDF 319.78 KB |
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| 06/07/2012 | 2012/387 | Final report Guidelines on certain aspects of the MiFID suitability requirements | Guidelines and Technical standards, MiFID - Investor Protection | Final Report | PDF 444.15 KB |
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| 25/09/2012 | 2012/602 | ESMA Data on Prospectuses Approved and Passported- January 2011 to December 2011 | Prospectus, Corporate Disclosure | Final Report | PDF 573.49 KB |
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| 25/09/2012 | 2012/603 | ESMA Data on Prospectuses Approved and Passported- January 2012 to June 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 431.12 KB |
NOTE: This Report is an amended version of the Report published on 25 September 2012. The previously published Report was amended on 15 May 2013 following the discovery of factual errors in the statis-tical information in Section III.2. Title ESMA Data on Prospectuses Approved and Passported - January 2012 to June 2012 | |||
| 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 | Post Trading | Technical Standards | PDF 1.88 MB |
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| 27/09/2012 | 2012/600 Annex VIII | Impact assessment- Annex VIII of the Final report on draft Regulatory and Implementing Technical Standards on Regulation (EU) 648/2012 on OTC derivatives, central counterparties and trade repositories | Post Trading | Final Report | PDF 2.32 MB |
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| 03/01/2013 | 2012/874 | Report to the European Parliament, the Council and the Commission on the budgetary implications of Regulation (EU) No 648/2012 on OTC derivatives, central counterparties and trade repositories (EMIR) | Post Trading | Final Report | PDF 526.73 KB |
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| 10/06/2013 | 2013/619 | Comparison of liability regimes in Member States in relation to the Prospectus Directive | Prospectus, Corporate Disclosure | Final Report | PDF 596.91 KB |
The European Securities and Markets Authority (ESMA) has published a report on the Comparison of liability regimes in Member States in relation to the Prospectus Directive. This is the first report of its kind and provides a comparison of liability regimes covering the EEA – comprising the 27 EU Member States along with Iceland and Norway and is aimed at providing clarity for market participants about the different regimes in place. The report contains an overview of the different arrangements and frameworks in place in EEA States to address administrative, criminal, civil and governmental liability, and provides clarity to market participants about the different regimes in place. The report was compiled in response to a European Commission request of January 2011 for assistance in identifying and monitoring the different regimes in EEA states. The report does not cover how the regimes, or sanctions, are applied. Report Comparison of liability regimes in Member States in relation to the Prospectus Directive Annex II Comparative table of responses from EEA States Annex III Individual responses from EEA States | |||
| 14/06/2013 | 2013/741 | ESMA Data on Prospectuses Approved and Passported—January 2012 to December 2012 | Prospectus, Corporate Disclosure | Final Report | PDF 457.11 KB |
The report compiles statistical data regarding the number of prospectuses approved and passported by National Competent Authorities in the period from January 2012 to December 2012 (with a quarterly disclosure). | |||
| 01/07/2013 | 2013/805 | Supervisory Practices under MAD- Peer review report and Good Practices | Market Abuse, Supervisory convergence | Final Report | PDF 1.17 MB |
ESMA's peer review of the supervisory practices EEA national competent authorities (NCAs) covers how national authorities enforce the requirements of the Market Abuse Directive (MAD). The Directive deals with the prevention of the dissemination of misleading information, the breach of reporting obligations and market abuse. | |||
| 01/07/2013 | 2013/806 | Supervisory Practices under MAD- Mapping Report | Market Abuse, Supervisory convergence | Final Report | PDF 315.44 KB |
ESMA's Mapping Report on Supervisory Practices under MAD sets out the situation in each Member State as regards their implementation of the various requirements of the Market Abuse Directive. | |||
| 08/08/2013 | 2013/1087 | Final Report on amended EMIR implementing technical standards | Post Trading | Technical Standards | PDF 335.07 KB |
The European Securities and Markets Authority (ESMA) has sent the European Commission a Final Report proposing an amendment to Article 5 of the Commission Implementing Regulation (EU) No.1247/2012 (ITS on reporting) on the format and frequency of reporting to trade repositories under EMIR. The amendment relates specifically to the reporting of exchange traded derivatives (ETDs) and proposes postponing the reporting start date by one year. Background Article 5 regards the reporting start date of derivatives to trade repositories, however the current dates do not include a specification of ETDs. This specification would be useful as there is a risk currently that reporting of ETDs is not harmonised unless further regulatory guidance is issued. Based on the need to ensure the consistent implementation of EMIR, ESMA considered that guidelines and recommendations should be developed in relation to this issue. A delay in the reporting date for ETD transactions will allow sufficient time for the development of the relevant guidelines and their implementation by counterparties, trade repositories and regulators. The European Commission has three months to decide whether to endorse ESMA’s draft implementing technical standards. |
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| 12/09/2013 | 2013/08/ODRG | Agreed Understandings to Resolving Cross-border Conflicts, Inconsistencies, Gaps and Duplicative Requirements | Post Trading | Final Report | PDF 442.48 KB |
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| 02/10/2013 | 2013/1373 | ESMA Technical advice on equivalence of Australia- OTC and TR (Supplement) | Post Trading | Final Report | PDF 736.17 KB |
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| 02/10/2013 | 2013/1370 | Technical advice on third country regulatory equivalence under EMIR – India | Post Trading | Final Report | PDF 2.44 MB |
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| 02/10/2013 | 2013/1375 | Technical advice on third country regulatory equivalence under EMIR – Canada | Post Trading | Final Report | PDF 1.39 MB |