ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
100
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
MiFID - Investor Protection X Benchmarks X Post Trading X Short Selling X Risk Analysis & Economics - Markets Infrastructure Investors X Q&A X Annual Report X Consultation Paper X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
12/07/2013 2013/925 The Clearing Obligation under EMIR Consultation Paper PDF
773.26 KB

The European Securities and Markets Authority (ESMA) is publishing this discussion paper in order to seek stakeholders’ views on the preparation of the regulatory technical standards ESMA is required to draft under Article 5(2) “Clearing Obligation Procedure” of the Regulation (EU) No 648/2012 of the European Parliament and Council on OTC derivatives, central counterparties and trade repositories (EMIR). The input from stakeholders will help ESMA in the development of the relevant technical standards to be drafted and submitted to the European Commission for endorsement in the form of Commission Regulations, i.e. a legally binding instrument directly applicable in all Member States of the European Union. One essential element in the development of draft technical standards is the analysis of the costs and benefits that those legal provisions will imply. Input in this respect and any supportive data will be highly appreciated and kept confidential where required. Please respond to the consultation using the response template. The closing date for responses is 12 September 2013.

09/11/2018 ESMA35-36-1262 Technical Q&As on product intervention measures on CFDs and binary options Q&A PDF
147.84 KB
19/12/2016 2016/1672 Technical advice to the Commission on fees for TRs under SFTR and on certain amendments of for fees under EMIR Consultation Paper PDF
709.68 KB

Reasons for publication

On 15 January 2016 the European Securities and Markets Authority (ESMA) received a formal request from the European Commission (Commission) to provide technical advice to assist the Commission in formulating a Regulation on fees for Trade Repositories (TRs) under SFTR by a delegated act.

Contents

The present report contains nine sections. Section 1 refers to the Executive Summary of the report. Section 2 explains the background to our proposals. Section 3 outlines the ESMA’s expected costs. Section 4 establishes the general approach for the determination of fees under EMIR and SFTR. Section 5 explains how ESMA will manage surpluses and deficits under EMIR and SFTR. Section 6 points out the rationale and computation of TRs fees for registration and extension of registration under SFTR. Sections 7 and 8 present the supervision fees under EMIR and SFTR and recognition fees under SFTR. Section 9 refers to the conditions of payment and reimbursement and, finally, Section 10 addresses the instances where delegation to NCAs takes place. Annex I contains the summary of the questions posed by ESMA and Annex II includes the Commission’s mandate to ESMA.

The amendments to fees under EMIR that are consulted in this document are required in order to ensure level –playing field with the ESMA’s fees to TRs under SFTR.

Next Steps

ESMA will consider the feedback it receives to this consultation in Q1 2017 and expects to publish and submit a final report of the technical advice to the European Commission for endorsement by end of Q1/beginning of Q2 of 2017.

14/12/2015 2015/1867 Review of Article 26 of RTS No 153/2013 with respect to MPOR for client accounts Consultation Paper PDF
227.6 KB
14/12/2015 2015/1867R Response Form to CP on review of Article 26 of RTS 153-2013 Consultation Paper DOCX
749.43 KB
05/11/2015 2015/1628/R Response form to CP on indirect clearing Consultation Paper DOCX
749.61 KB
17/02/2020 ESMA70-708036281-2 Questions and Answers on CSDR , Q&A PDF
575.59 KB
02/02/2018 ESMA70-151-1179 Questions and Answers ESMA CCP Stress Test Q&A PDF
694.47 KB
29/05/2018 ESMA70-145-408 Question and Answers (Q&A) on the Regulation on short selling and certain aspects of credit default swaps (SSR) Q&A PDF
536.17 KB
08/07/2020 ESMA70-708036281-2 Q&As- Central Securities Depositories Regulation Q&A PDF
554.32 KB
28/05/2020 ESMA35-43-349 Q&As on MiFID II and MiFIR investor protection topics , Q&A PDF
1014.59 KB
31/03/2017 ESMA35-36-794 Q&A Relating to the provision of CFDs and other speculative products to retail investors under MiFID Q&A PDF
948.76 KB
11/12/2019 ESMA70-145-114 Q&A on the Benchmarks Regulation (BMR) , Q&A PDF
518.18 KB
30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Q&A PDF
873.32 KB
29/04/2016 2016/665 Q&A on ESMA’s EU-wide stress tests for CCPs Q&A PDF
269.98 KB
08/07/2020 ESMA70-1861941480-52 Q&A on EMIR implementation Q&A PDF
0 bytes
11/01/2013 2013/12 Principles for Benchmarks-Setting Processes in the EU Consultation Paper PDF
259.33 KB
10/01/2019 ESMA71-99-1081 Press release- ESMA report finds investment product performance highly impacted by charges , Annual Report PDF
159.37 KB
12/02/2013 2013/203 On the evaluation of the Regulation (EU) 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Consultation Paper PDF
315.16 KB
22/06/2012 2012/382 MiFID Q&A in the area of investor protection and intermediaries Q&A PDF
319.78 KB

Pages