ESMA LIBRARY
The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
36
REFINE YOUR SEARCH
Sections
- (-) Remove MiFID - Investor Protection filter MiFID - Investor Protection
- (-) Remove Risk Analysis & Economics - Markets Infrastructure Investors filter Risk Analysis & Economics - Markets Infrastructure Investors
- (-) Remove Securities Financing Transactions filter Securities Financing Transactions
- (-) Remove Corporate Governance filter Corporate Governance
- (-) Remove Guidelines and Technical standards filter Guidelines and Technical standards
- CESR Archive (309) Apply CESR Archive filter
- Corporate Information (76) Apply Corporate Information filter
- Post Trading (52) Apply Post Trading filter
- Fund Management (38) Apply Fund Management filter
- Credit Rating Agencies (33) Apply Credit Rating Agencies filter
- MiFID - Secondary Markets (30) Apply MiFID - Secondary Markets filter
- Joint Committee (25) Apply Joint Committee filter
- Corporate Disclosure (18) Apply Corporate Disclosure filter
- Prospectus (14) Apply Prospectus filter
- Market Abuse (13) Apply Market Abuse filter
- Benchmarks (10) Apply Benchmarks filter
- Market Integrity (9) Apply Market Integrity filter
- Planning reporting budget (7) Apply Planning reporting budget filter
- Securitisation (7) Apply Securitisation filter
- Trading (7) Apply Trading filter
- Transparency (6) Apply Transparency filter
- Short Selling (5) Apply Short Selling filter
- Supervisory convergence (5) Apply Supervisory convergence filter
- Board of Supervisors (4) Apply Board of Supervisors filter
- Trade Repositories (4) Apply Trade Repositories filter
- IFRS Supervisory Convergence (3) Apply IFRS Supervisory Convergence filter
- Innovation and Products (3) Apply Innovation and Products filter
- CCP Directorate (2) Apply CCP Directorate filter
- Corporate Finance (2) Apply Corporate Finance filter
- Management Board (2) Apply Management Board filter
- Sustainable finance (2) Apply Sustainable finance filter
- Crowdfunding (1) Apply Crowdfunding filter
- European Single Electronic Format (1) Apply European Single Electronic Format filter
- Market data (1) Apply Market data filter
- MiFID II: Transparency Calculations and DVC (1) Apply MiFID II: Transparency Calculations and DVC filter
Type of document
- (-) Remove Consultation Paper filter Consultation Paper
- (-) Remove Annual Report filter Annual Report
- Guidelines & Recommendations (552) Apply Guidelines & Recommendations filter
- Reference (99) Apply Reference filter
- Press Release (67) Apply Press Release filter
- CLOSED Procedure (62) Apply CLOSED Procedure filter
- Opinion (57) Apply Opinion filter
- Final Report (56) Apply Final Report filter
- Report (46) Apply Report filter
- Compliance table (34) Apply Compliance table filter
- Statement (29) Apply Statement filter
- Letter (28) Apply Letter filter
- Investor Warning (26) Apply Investor Warning filter
- Speech (15) Apply Speech filter
- Q&A (7) Apply Q&A filter
- Decision (4) Apply Decision filter
- ONGOING Procedure (4) Apply ONGOING Procedure filter
- Technical Advice (4) Apply Technical Advice filter
- Technical Standards (1) Apply Technical Standards filter
Your filters
MiFID - Investor Protection X Audit X Procurement X Corporate Governance X Guidelines and Technical standards X Securities Financing Transactions X Risk Analysis & Economics - Markets Infrastructure Investors X Annual Report X CESR Document X Consultation Paper X
Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 29/01/2021 | ESMA35-36-2159 | CP on Guidelines on certain aspects of the MiFID II appropriateness and execution-only requirements | MiFID - Investor Protection | Consultation Paper | PDF 454.65 KB |
||||
| 31/07/2020 | ESMA35-43-2464 TC | Draft joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders | MiFID - Investor Protection | Consultation Paper | PDF 744.01 KB |
||||
| 31/07/2020 | ESMA35-43-2464 | Draft joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders | MiFID - Investor Protection | Consultation Paper | PDF 711.12 KB |
||||
| 09/07/2020 | ESMA74-362-608 | Guidelines on calculation of positions in SFTs by Trade Repositories | Securities Financing Transactions, Trade Repositories | Consultation Paper | PDF 799.81 KB |
||||
| 09/03/2020 | ESMA80-199-332 | ESMA Supervision- Annual Report 2019 and Work Programme 2020 | Benchmarks, Credit Rating Agencies, Securities Financing Transactions, Securitisation, Trade Repositories | Annual Report | PDF 825.72 KB |
||||
| 31/01/2020 | ESMA35-43-2131 | Draft technical standards on the provision of investment services and activities in the Union by third-country firms under MiFID II and MiFIR | MiFID - Investor Protection | Consultation Paper | PDF 1.23 MB |
||||
| 30/09/2019 | ESMA-35-43-2090 | Call for evidence on MiFID II product intervention powers | MiFID - Investor Protection | Consultation Paper | PDF 197.51 KB |
||||
| 17/07/2019 | ESMA35-43-1905 | Call for evidence Impact of the inducements and costs and charges disclosure requirements under MiFID II | MiFID - Investor Protection | Consultation Paper | PDF 479.41 KB |
||||
| 15/07/2019 | ESMA35-43-2019 | Consultation paper on compliance function guidelines | MiFID - Investor Protection | Consultation Paper | PDF 677.15 KB |
||||
| 27/05/2019 | ESMA70-151-1985 | Consultation paper on Guidelines for reporting under Articles 4 and 12 SFTR | Securities Financing Transactions | Consultation Paper | PDF 1.32 MB |
||||
| 10/01/2019 | ESMA71-99-1081 | Press release- ESMA report finds investment product performance highly impacted by charges | MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors | Annual Report | PDF 159.37 KB |
||||
| 10/01/2019 | ESMA50-165-731 | ESMA annual statistical report on performance and costs of retail investment products in the EU | MiFID - Investor Protection, Risk Analysis & Economics - Markets Infrastructure Investors | Annual Report | PDF 3.43 MB |
||||
| 19/12/2018 | ESMA35-43-1210 | Consultation paper on integrating sustainability risks and factors in MiFID II | MiFID - Investor Protection | Consultation Paper | PDF 494.66 KB |
||||
| 19/12/2018 | ESMA35-43-1210 | Consulation paper on integrating sustainability risks and factors in MiFID II | MiFID - Investor Protection | Consultation Paper | |||||
| 18/01/2018 | ESMA35-43-904 | Call for Evidence – Potential product intervention measures on contracts for differences and binary options to retail clients | MiFID - Investor Protection | Consultation Paper | PDF 306.85 KB |
||||
| 29/09/2017 | 70-145-105 | Draft Guidelines on non-significant benchmarks | Benchmarks, Guidelines and Technical standards | Consultation Paper | PDF 557.29 KB |
||||
| 13/07/2017 | ESMA35-43-748 | Consultation Paper on guidelines on certain aspects of the MiFID II suitability requirements | MiFID - Investor Protection | Consultation Paper | PDF 740.94 KB |
||||
| 28/10/2016 | 2016/1529 | Joint ESMA and EBA Guidelines on the assessment of the suitability of members of the management body and key function holders | Guidelines and Technical standards, MiFID - Investor Protection | Consultation Paper | PDF 1.13 MB |
||||
| 05/10/2016 | 2016/1436 | Consultation Paper on Draft guidelines on MiFID II product governance requirements | MiFID - Investor Protection | Consultation Paper | PDF 661.2 KB |
||||
| 30/09/2016 | 2016/1409 | Draft RTS and ITS under SFTR and amendments to related EMIR RTS | Post Trading, Securities Financing Transactions | Consultation Paper | PDF 5.63 MB |
The European Securities and Markets Authority (ESMA) is publishing this Consultation Paper as part of its consultations on Level 2 measures under the Securities Financing Transactions Regulation (SFTR) as well as certain amendments to the Level 2 measures under EMIR in order to take into account legal developments as well as to ensure consistency, where relevant, between the frameworks of both regulations Contents Section 1 is the executive summary of the document. Section 2 explains the background to our proposals. Section 3 includes detailed information on the procedure and criteria for registration as TR under SFTR. Section 4 details the use of internationally agreed reporting standards, the reporting logic under SFTR and the main aspects of the structure of an SFT report. Section 5 covers the requirements regarding transparency of data and aggregation and comparison of data. Section 6 details the access levels of authorities. Section 7 contains the tables of fields, for the relevant types of SFTs, as well as a summary of all the questions. Next Steps ESMA will consider the feedback it received to this document in the fourth quarter of 2016. The final report and the draft technical standards will be submitted to the European Commission for endorsement by the end of Q1/beginning Q2 2017. |