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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries Q&A PDF
319.78 KB
01/08/2012 2012/490 Call for expressions of interest in ESMA's Consultative Working Group on Investor Protection and Intermediaries Standing Committee Reference PDF
130.34 KB
The deadline for responses to this call for interest has been extended two weeks, to 14 September 2012.
19/10/2012 2012/682 Guide to investing , Reference PDF
569.39 KB
19/12/2012 2012/850 MiFID supervisory briefing- Suitability Reference PDF
238 KB
24/05/2013 request for technical advice Request from the European Commission for ESMA’s technical advice on procedural rules for taking supervisory measures and imposing fines on trade repositories Reference PDF
626.54 KB
07/11/2013 MARKT/G2/PSDM/bh (2013) 3663122 EC letter to ESMA on reporting of ETDs Reference PDF
430.71 KB
01/04/2014 2014/336 Trade Repository Supervision Work Plan 2014 Reference PDF
111.34 KB

The European Securities and Markets Authority (ESMA) is publishing a summary of its 2014 supervisory work plan in relation to trade repositories (TRs) with the aim of enhancing the transparency of its actions regarding TRs in the European Union. TRs centrally collect and maintain the records of derivative trades and play a central role in enhancing the transparency of derivative markets and reducing risks to financial stability. In November 2013, ESMA registered six TRs. The obligation for counterparties to report their derivative trades to registered TRs began on 12 February 2014. Under Titles VI and VII of Regulation EU 648/2012 (EMIR), the direct supervision of TRs has been entrusted to ESMA, who has started to supervise the six registered TRs. Supervision of TRs by ESMA is crucial to ensuring that TRs comply on an on-going basis with all EMIR requirements, thereby enabling regulators to access data and details of derivative contracts in order for them to fulfil their respective mandates.

07/11/2014 ODRG 7/11/14 Report of the OTC Derivatives Regulators Group (ODRG) to G20 Leaders on Cross-Border Implementation Issues Reference PDF
460.72 KB
19/12/2014 EC 18/12/2014 annex Letter from European Commission- Annex with Amended draft RTS on clearing obligation for IRS Reference PDF
74.34 KB
19/12/2014 2014/1569 Annex Annex to Technical Advice on MiFID II and MiFIR- investor protection topics Reference PDF
962.39 KB
24/02/2015 MOC ESMA JFSA MoC ESMA and JFSA regarding CCPs Reference PDF
767.27 KB
23/03/2015 2015/615 Call for interest IPISC-CWG renewal Reference PDF
187.49 KB
ESMA is today launching the process to renew the composition of the IPISC CWG. ESMA is therefore calling for expressions of interest from stakeholders. Application procedure, closing date Relevant stakeholders meeting the required selection criteria and wishing to apply for a position on the CWG are invited to submit, in English:. A completed application form (see separate document), and. A detailed curriculum vitae (CV), preferably in the EU CV format. It is optional for applicants to attach a motivation letter (2 pages maximum).. Unclear or incomplete applications will not be considered.. Applications must be submitted by email no later than 23 April 2015 to the following email addresses: IPISC.CWG.renewal2015@esma.europa.eu
27/08/2015 2015/1295 RP Response form for the Discussion Paper on Review of Article 26 of RTS 153/2013 Reference DOCX
781.64 KB
04/11/2015 EMIR VT EMIR validation table Reference XLSX
26.48 KB
06/11/2015 NFC no CT Notification of NFC no longer exceeding the clearing threshold Reference XLSX
50.16 KB

This notification may be submitted to ESMA (EMIR-notifications@esma.europa.eu) preferably in Excel format, using the form hereby by a non-financial counterparty that no longer exceeds the clearing threshold for any of the following: 

a)     OTC credit derivative contracts;   
b)     OTC equity derivative contracts;   
c)     OTC foreign exchange derivative contracts;   
d)     OTC interest rate derivative contracts; and  
e)     OTC commodity derivative contracts and other OTC derivative contracts not defined under points (a) to (d). 
09/11/2015 ODRG/06/11/15 Report of the ODRG to the G20 Nov (06112015) Reference PDF
215.5 KB
17/11/2015 2015/1514 Note on MiFID-MiFIR implementation delays , Reference PDF
131.7 KB
26/11/2015 MoU ESMA-SFC MoU ESMA-SFC indirect access to TR data Reference PDF
537.43 KB
01/12/2015 JC/2015/079 2015 list of identified Financial Conglomerates , Reference PDF
146.29 KB
11/12/2015 Post-trading links Links to key Post Trading documents Reference PDF
603.88 KB

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