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|Date||Ref.||Title||Section||Type||Download||Info||Summary||Related Documents||Translated versions|
|13/04/2021||ESMA74-362-1934||Updated LEI statement SFTR||Market data, Post Trading, Securities Financing Transactions||Statement||PDF
|07/10/2019||ESMA90-1-167||Update on the UK’s withdrawal from the European Union- preparations for a possible no-deal Brexit scenario on 31 October 2019||Benchmarks, Brexit, MiFID - Secondary Markets, MiFID II: Transparency Calculations and DVC||Statement||PDF
|30/08/2012||2012/537||STATEMENT- Short Selling Regulation Update: Market Maker & Primary Dealer Exemption Notification Procedure||Short Selling, Market Integrity, Press Releases||Statement||PDF
|The European Securities and Markets Authority (ESMA) is publishing this notice to alert financial market participants to its upcoming consultation on the market making and authorised primary dealer exemption under the EU’s Short Selling Regulation (SSR) and the procedure to be followed by firms and regulators in dealing with notifications of intention to use the exemption.|
|12/07/2019||ESMA35-36-1743||Statement Product Intervention||MiFID - Investor Protection||Statement||PDF
|15/12/2017||ESMA71-99-910||Statement on preparatory work of the European Securities and Markets Authority in relation to CFDs and binary options offered to retail clients||MiFID - Investor Protection, Warnings and publications for investors||Statement||PDF
|30/05/2018||ESMA71-99-991||Statement of the EBA and ESMA on the treatment of retail holdings of debt financial instruments subject to the Bank Recovery and Resolution Directive||MiFID - Investor Protection, Warnings and publications for investors||Statement||PDF
|09/11/2020||ESMA74-362-881||Statement Brexit EMIR and SFTR data||Brexit, Post Trading, Securities Financing Transactions||Statement||PDF
|25/05/2016||2016/724||Requirements for reference data submission under Article 4 MAR||Market Abuse, Market Integrity||Statement||PDF
|13/01/2021||ESMA35-43-2509||Reminder to firms of the MiFID II rules on ‘reverse solicitation’ in the context of the recent end of the UK transition period||Brexit, MiFID - Investor Protection||Statement||PDF
|06/05/2020||ESMA35-43-2391||Reminder of firms’ MiFID II conduct of business obligations in the context of increasing retail investor activity||COVID-19, MiFID - Investor Protection||Statement||PDF
|18/12/2020||ESMA80-192-10053||Public Statement_Registration_DTCC Data Repository (Ireland) PLC under EMIR and SFTR||Securities Financing Transactions, Trade Repositories||Statement||PDF
|11/08/2011||2011/266||Public statement- harmonised regulatory action on short-selling in the EU||Short Selling, Press Releases||Statement||PDF
|28/06/2017||ESMA35-36-885||Product Intervention- General Statement||Innovation and Products, MiFID - Investor Protection||Statement||PDF
This statement provides an update on the European Securities and Markets Authority’s (ESMA) work in relation to the sale of contracts for differences (CFDs), binary options and other speculative products to retail investors.
ESMA has been concerned about the provision of speculative products such as CFDs, rolling spot forex and binary options to retail investors for a considerable period of time and has conducted ongoing monitoring and supervisory convergence work in this area. In this context, ESMA has previously published a number of Q&As on CFDs and other speculative products to foster supervisory convergence, having established a CFD Task Force in July 2015, and also issued a further investor warning on the sale of CFDs, binary options and other speculative products in July 2016.
However, ESMA remains concerned that these supervisory convergence tools may not be sufficiently effective to ensure that the risks to consumer protection are sufficiently controlled or reduced. ESMA is therefore discussing the possible use of its product intervention powers under Article 40 of MiFIR to address investor protection risks in relation to CFDs, rolling spot forex and binary options.
ESMA is in the process of discussing the possible use of its product intervention powers under Article 40 of MiFIR, the possible content of any such measures, and how they could be applied. However, ESMA can confirm that the measures being discussed for (i) CFDs and rolling spot forex and (ii) binary options include proposals that take into account a number of measures that have been adopted or publicly consulted on by EU National Competent Authorities. These measures include leverage limits, guaranteed limits on client losses, and / or restrictions on the marketing and distribution of these products.
In accordance with Article 40 of MiFIR, any intervention measures must be approved by the ESMA Board of Supervisors and can only come into effect from 3 January 2018 at the earliest.
 ESMA/2016/1166 Warning about CFDs, binary options and other speculative products published 25 July 2016
|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
|02/06/2016||2016/902||MiFID practices for firms selling financial instruments subject to the BRRD resolution regime||MiFID - Investor Protection||Statement||PDF
|23/02/2021||ESMA22-105-1307||Introductory statement on GameStop share trading- Steven Maijoor||Market Integrity, MiFID - Investor Protection||Statement||PDF
|07/10/2019||ESMA70-155-8500||Impact of no-deal Brexit on the application of MiFID II/MiFIR and the Benchmark Regulation (BMR)||Benchmarks, Brexit, MiFID - Secondary Markets||Statement||PDF
|13/03/2018||ESMA70-143-30||First meeting of the Euro Risk Free Rate Working Group – Steven Maijoor concluding remarks||Benchmarks||Statement||PDF
|30/06/2015||2015/1006||Final Report on MiFID II-MiFIR draft technical standards on authorisation, passporting, registration of third country firms and cooperation between competent authorities||MiFID - Investor Protection||Technical Standards||PDF
|28/09/2015||2015-ESMA-1455||Final Report MAR TS||Market Abuse||Technical Standards||PDF