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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|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
|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
|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
|30/09/2019||ESMA-35-43-2090||Call for evidence on MiFID II product intervention powers||MiFID - Investor Protection||Consultation Paper||PDF
|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
|15/07/2019||ESMA35-43-2019||Consultation paper on compliance function guidelines||MiFID - Investor Protection||Consultation Paper||PDF
|27/05/2019||ESMA70-145-1145||Consultation paper on Guidelines on periodic information and notification of material changes to be submitted to ESMA by Trades Repositories||Market Integrity, Post Trading||Consultation Paper||PDF
|19/12/2018||ESMA35-43-1210||Consultation paper on integrating sustainability risks and factors in MiFID II||MiFID - Investor Protection||Consultation Paper||PDF
|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
|29/09/2017||70-145-105||Draft Guidelines on non-significant benchmarks||Benchmarks, Guidelines and Technical standards||Consultation Paper||PDF
|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
|07/07/2017||ESMA70-145-127||Consultation paper on the evaluation of the short-selling regulation||Market Integrity, Short Selling||Consultation Paper||PDF
|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
|05/10/2016||2016/1436||Consultation Paper on Draft guidelines on MiFID II product governance requirements||MiFID - Investor Protection||Consultation Paper||PDF
|31/05/2016||2016/732||Guidelines on participant default rules and procedures under CSDR||Guidelines and Technical standards, Post Trading||Consultation Paper||PDF
The European Securities and Markets Authority (ESMA) under Article 41(4) of Regulation (EU) No 909/2014 of the European Parliament and of the Council on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation No 236/2012 (CSDR) may issue guidelines in accordance with Article 16 of Regulation (EU) No 1095/2010 in order to ensure consistent application of Article 41 of CSDR relating to participant default rules and procedures.
Section 2 contains information on the background and mandate, Section 3 contains an analysis of the scope and content of the proposed guidelines, while Section 4 contains the proposed guidelines.
Annex I sets out a summary of the questions contained in this paper and Annex II includes a high level cost-benefit analysis for the guidelines.
ESMA will consider the feedback it will receive to this consultation with a view to finalising the guidelines by Q4 2016.
|27/05/2016||2016/723||Consultation Paper on ESMA technical advice on Benchmarks Regulation||Market Integrity, Benchmarks||Consultation Paper||PDF
|15/02/2016||2016/288||Discussion Paper Benchmarks Regulation||Market Integrity, Benchmarks||Consultation Paper||PDF
|28/01/2016||2016/162||Consultation paper- Draft Guidelines on the Market Abuse Regulation||Market Abuse, Market Integrity||Consultation Paper||PDF
|08/06/2015||2015/920||Impact of the Best Practice Principles for Providers of Shareholder Voting Research and Analysis||Corporate Disclosure, Corporate Governance||Consultation Paper||PDF
|Responding to this Call for Evidence ESMA invites comments on all matters in this paper and in particular on the specific questions presented throughout the paper. Comments are most helpful, if they:a. respond to the question stated;b. indicate the specific question to which they relate; andc. contain a clear rationale. ESMA will consider all comments received by 27 July 2015. All contributions should be submitted online at www.esma.europa.eu under the heading ‘Your input - Consultations’. Publication of responses All contributions received will be published following the close of the Call for Evidence, unless you request otherwise. Please clearly and prominently indicate in your submission any part you do not wish to be publically disclosed. A standard confidentiality statement in an email message will not be treated as a request for non-disclosure. A confidential response may be requested from us in accordance with ESMA’s rules on access to documents. We may consult you, if we receive such a request. Any decision we make not to disclose the response is reviewable by ESMA’s Board of Appeal and the European Ombudsman.Data protection Information on data protection can be found at www.esma.europa.eu under the heading Legal Notice.Who should read this Call for Evidence This Call for Evidence will be of relevance to persons and entities participating in the voting chain, particularly proxy advisors, investors, companies listed in Europe, proxy solicitors and consultants.|