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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|30/11/2022||ESMA35-42-1305||ESCPR- Miscellaneous reporting to ESMA||Crowdfunding, MiFID - Investor Protection||Reference||PDF
|04/11/2022||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.
|04/11/2022||ESMA42-110-812||Notifications of Compliance with Guidelines – Overview Table||Guidelines and Technical standards||Reference||XLSX
|31/10/2022||ESMA50-164-772||Links to the national websites explaining the procedures for notifications of net short positions||Short Selling||Reference||PDF
|28/10/2022||ESMA42-112-389||List of extra-judicial mechanisms for consumers complaints (Art. 75 MiFID II)||MiFID - Investor Protection||Reference||PDF
|24/10/2022||ESMA24-436-1150||Annex to the Opening Statement- 2022 ECON Annual Hearing, 24 October 2022||Board of Supervisors, CCP Directorate, Corporate Information, Innovation and Products, MiFID - Investor Protection, Speeches, Supervisory convergence, Sustainable finance||Reference||PDF
|21/10/2022||Market makers - XLS||Market makers and authorised primary dealers who are using the exemption under the SSR- XLS||Short Selling||Reference||XLSX
|21/10/2022||Market makers - pdf||Market makers and authorised primary dealers who are using the exemption under the SSR- PDF||Short Selling||Reference||PDF
|05/10/2022||ESMA42-646012687-331||ESMA Guidelines||Corporate Information, Guidelines and Technical standards||Reference||XLSX
|16/09/2022||ESMA63-313-659||Procurement plan overview||Procurement||Reference||PDF
|16/09/2022||CPD22||Joint ESAs Consumer Protection Day- Programme||Joint Committee, MiFID - Investor Protection||Reference||PDF
|01/09/2022||ESMA50-165-2230||ESMA report on trends, risks and vulnerabilities No 2 2022 – statistical annex||Risk Analysis & Economics - Markets Infrastructure Investors||Reference||PDF
|20/07/2022||SSR sanctions||Administrative measures and sanctions applicable in Member States to infringements of the Short Selling Regulation (SSR)||Short Selling||Reference||PDF
|20/07/2022||ESMA50-164-2193||TRV Article_Key Retail Risk Indicators for the EU single market||MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors||Reference||PDF
|01/07/2022||ESMA31-67-535||Practical Guide on notifications of major holdings under the Transparency Directive||Corporate Disclosure, Corporate Information, Transparency||Reference||PDF
|01/07/2022||ESMA41-140-79||Technical standards||Corporate Information, Guidelines and Technical standards||Reference||XLSX
|23/06/2022||ESMA34-32-418||AIFMD MoUs signed by the EU authorities||Fund Management, International cooperation||Reference||XLSX
|22/06/2022||ESMA63-53-5306||Annual list of contractors- 2021||Procurement||Reference||PDF
|01/06/2022||ESMA50-164-770||Links to national websites where net short positions in shares are disclosed||Short Selling||Reference||PDF
|18/05/2022||ESMA50-165-2096||Leverage and derivatives – the case of Archegos||Risk Analysis & Economics - Markets Infrastructure Investors, Trading||Reference||PDF