ESMA LIBRARY

The ESMA Library contains all ESMA documents. Please use the search and filter options to find specific documents.
430
DOCUMENTS

REFINE YOUR SEARCH

Sections

Type of document

Your filters
Corporate Information X Benchmarks X Transparency X Joint Committee X CESR Archive X Post Trading X Technical Standards X Technical Advice X Compliance table X Q&A X Final Report X
Reset all filters

Pages

Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/10/2004 04-333f Which supervisory tools for the EU securities markets? Preliminary Progress Report ("Himalaya Report") Final Report PDF
297.64 KB
The purpose of this preliminary analytical paper by the Committee of European Securities Regulators (CESR) is to contribute to the creation of an efficient EU single market for financial services. This consultative report is a first attempt to define how securities regulators can play their role in order to ensure full and consistent implementation as well as effective enforcement of all measures included in the Financial Services Action Plan in the area of securities, in the next five years. The work concentrates on the objective of securities regulators which are to maintain fair, transparent and secure securities market; it does not cover issues related to the prudential supervision of banks or insurance companies which are of fundamental different nature and focus. Please post your responses on the CESR website by 31 January 2005
22/03/2005 US Enforcement USA response to CESR survey on Enforcement Mechanisms Final Report PDF
3.83 MB
15/02/2005 US Equivalence USA reponse to questionnaire on GAAP Equivalence Final Report PDF
838.27 KB
04/07/2003 03-175c Third Meeting of the CESR Market Participants Consultative Panel Final Report PDF
1.08 MB
Public statement on the Third meeting of the CESR Market Participants Consultative Panel held on 12th June 2003 in Paris.
13/12/2005 05-735 Tenth meeting of the Market Participants Consultative Panel Final Report PDF
132.93 KB
09/06/2010 10-333 Technical Advice- The Equivalence between the Japanese Regulatory and Supervisory Framework and the EU Regulatory Regime for Credit Rating Agencies , Technical Advice PDF
4.59 MB
24/01/2014 2013/1965 Technical Advice to the Commission on procedural rules to impose fines and periodic penalty payments to Trade Repositories Technical Advice PDF
385.87 KB

Reasons for publication On 29 of April 2013 ESMA received a formal request from the European Commission (the Commission) to provide technical advice to assist the Commission in formulating procedural rules to impose fines and periodic penalty payments to trade repositories (TRs) by delegated act. In order to deliver its advice to the Commission, ESMA consulted market participants regarding the procedural rules to impose fines and periodic penalty payments to TRs. Respondents to the consultation were encouraged to provide the relevant information in support of their arguments or proposals. ESMA published the consultation on 18 October 2013. The market participants could provide their comments until 15 November 2013. In total ESMA received two responses to the consultation. The respondents have required confidential treatment for their input. ESMA would like to thank respondents for providing input. Contents This document sets out a summary of the responses received by ESMA regarding the procedural rules to impose fines and periodic penalty payments to TRs and includes ESMA’s final technical advice to the Commission on the future Regulation on the procedural rules to impose fines and periodic penalty payments to TRs which will be adopted by the Commission in the form of a delegated act. It is worth noting that all major ESMA proposals were supported by respondents and where comments were received ESMA has considered them carefully. Next steps ESMA will follow-up on this work with the Commission towards the adoption of the Commission delegated regulation on procedural rules to impose fines and periodic penalty payments to TRs.

03/09/2013 2013/1157 Technical advice on third country regulatory equivalence under EMIR – US Technical Advice PDF
5.06 MB
02/10/2013 2013/1374 Technical advice on third country regulatory equivalence under EMIR – Switzerland (Supplement) Final Report PDF
117.72 KB
03/09/2013 2013/1162 Technical advice on third country regulatory equivalence under EMIR – Switzerland Technical Advice PDF
3.65 MB
03/09/2013 2013/1161 Technical advice on third country regulatory equivalence under EMIR – Singapore Technical Advice PDF
3.55 MB
03/09/2013 2013/1158 Technical advice on third country regulatory equivalence under EMIR – Japan Technical Advice PDF
3.76 MB
02/10/2013 2013/1370 Technical advice on third country regulatory equivalence under EMIR – India Final Report PDF
2.44 MB
03/09/2013 2013/1160 Technical advice on third country regulatory equivalence under EMIR – Hong Kong Technical Advice PDF
3.57 MB
02/10/2013 2013/1375 Technical advice on third country regulatory equivalence under EMIR – Canada Final Report PDF
1.39 MB
03/09/2013 2013/1159 Technical advice on third country regulatory equivalence under EMIR – Australia Technical Advice PDF
3.82 MB
09/08/2007 07-284b Technical advice on Non-equities transparency Final Report PDF
177.29 KB
05/07/2005 05-230b Technical advice on equivalence of certain third country GAAP and International Financial Reporting Standards Final Report PDF
1.01 MB
CESR publishes today its final technical advice (Ref. CESR 05-230b) for the European Commission on equivalence between Canadian, Japanese and US General Accepted Accounting Practices (GAAP) and International Accounting Standards /International Financial Reporting Standards (IAS/IFRS). CESR
11/11/2019 ESMA70-151-2649 Technical advice on comparable compliance Technical Advice PDF
790.06 KB
01/07/2009 09-472 Supplementary report on the programmes of Canada, India and South Korea to converge with or adopt IFRS, on the level of application of Chinese accounting standards by Chinese issuers and on the use of third county GAAPs Final Report PDF
2.67 MB

Pages