ESMA LIBRARY
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Reset all filters| Date | Ref. | Title | Section | Type | Download | Info | Summary | Related Documents | Translated versions |
|---|---|---|---|---|---|---|---|---|---|
| 19/07/2012 | 2011/454 | MOU on the supervision of CRAs- ESMA and ASIC | Credit Rating Agencies, International cooperation | Reference | PDF 4 MB |
This document contains two copies of the MOU, signed by ESMA and by the ASIC. | |||
| 19/07/2012 | 2012/124 | MOU on the supervision of CRAs- ESMA and MAS | Credit Rating Agencies, International cooperation | Reference | PDF 574.14 KB |
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| 20/06/2012 | 2012/378 | Operation of notifications of MiFID Article 41 suspensions and removals of financial instruments from trading | MiFID - Secondary Markets | Reference | PDF 353.3 KB |
This protocol has been created to ensure effective co-operation between Competent Authorities (CAs) with respect to their obligations under Article 41 of MiFID (Suspension and removal of in-struments from trading).The purpose of the notification obligations under Article 41 is to afford investors across all Mem-ber States the same level of protection regardless of where they trade. In order to achieve this outcome, a shared understanding of the different circumstances under which trading may be suspended in different Member States according to their national law and the expected course of action under Article 41 is helpful. To ensure trading is suspended or an instrument is removed from trading in an effective and timely way, an effective communication process is necessary.The protocol will be kept under review in light of practical experience. | |||
| 25/07/2012 | 2012/478 | ESMA MiFID database- description of webservice | MiFID - Secondary Markets | Reference | PDF 123.71 KB |
This document provides useful information for developers wanting to use the webservice provided in ESMA's MIFID databases. | |||
| 12/11/2013 | 2013/1643 | Cover Note- Public statement containing information on shareholder cooperation and acting in concert under the Takeover Bids Directive (ESMA/2013/1642) | Corporate Disclosure, Corporate Governance | Reference | PDF 145.01 KB |
In accordance with its mandate to take appropriate action in the context of takeover bids as per Article 1.3 of Regulation (EU) 1095/2010 (ESMA Regulation), ESMA is releasing a public statement on shareholder cooperation and acting in concert under the Takeover Bids Directive (Directive 2004/25/EC). This statement has been prepared following the review and report by the European Commission on the application of the Takeover Bids Directive and is based on information collected about the practices and application of that Directive. The statement has been prepared in order to help shareholders identify activities in relation to which they can cooperate (insofar as those activities are available to them under national company law), without that cooperation, in and of itself, leading to a conclusion that the shareholders are acting in concert and thus being at risk of having to make a mandatory bid under the Takeover Bids Directive. These activities are presented in the statement in the form of a “White List”. The statement has been prepared by the Takeover Bids Network, a permanent working group operating under the auspices of ESMA that promotes exchange of information on practices and application of the Takeover Bids Directive across the European Economic Area, thereby strengthening a common supervisory culture. The Takeover Bids Network is a specialist group composed of the national competent authorities appointed under the Takeover Bids Directive. The competent authorities represented on the ESMA Board of Supervisors are not in all cases appointed as competent authorities within the Takeover Bids Directive. The authorities not represented on the Board of Supervisors but competent within the area of takeovers are the Austrian Takeover Commission, the Irish Takeover Panel, the Oslo Stock Exchange of Norway, the Takeover Panel of Sweden and the Takeover Panel of the United Kingdom. These five authorities have contributed to the public statement and will have regard to it in the same manner as the other members of the Takeover Bids Network when assessing whether shareholders are acting in concert under their national takeover rules. | |||
| 02/12/2013 | 2013/1792 | Call for expressions of interest regarding the establishment of the Consultative Working Group of the ESMA Market Data Reporting Working Group | MiFID - Secondary Markets | Reference | PDF 98.24 KB |
Deadline for applications is 3 January 2014. | |||
| 16/12/2013 | 2013/1933 | CRAs’ Market share calculation according to Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 181.17 KB |
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| 11/03/2013 | 2013/280 | Vacancy notice- Chair of Committee drafting a proxy advising industry Code of Conduct | Corporate Finance, Corporate Governance | Reference | PDF 102.91 KB |
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| 10/11/2016 | 2013/68c | Protocol on the operation of ESMA MiFID Database final | MiFID - Investor Protection, MiFID - Secondary Markets | Reference | PDF 333.11 KB |
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| 23/01/2013 | 2013/87 | 2013 CRA supervision and policy work plan | Credit Rating Agencies | Reference | PDF 114.95 KB |
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| 06/11/2014 | 2014/1334 | MiFID database- Contact emails of national competent authorities for market participants [updated] | MiFID - Secondary Markets | Reference | PDF 138.29 KB |
ESMA has established a list of national contacts, to which questions pertaining to the content of specific entries should be sent. Please use this list to contact the relevant competent authority if you a have a query regarding shares which have been included in or ex-cluded from the list, the calculations for a specific entry or its status as liquid/not liquid. |
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| 22/12/2014 | 2014/1583 | Credit Rating Agencies’ 2014 market share calculations for the purposes of Article 8d of the CRA Regulation | Credit Rating Agencies | Reference | PDF 330 KB |
One of the objectives of the CRA Regulation is to increase competition in the markets for credit ratings by encouraging issuers to use smaller credit rating agencies. To this end, Article 8d(1) of the CRA Regulation states that where issuers or related third parties intend to appoint at least two CRAs to rate an issuance or entity, they shall consider appointing at least one CRA with no more than 10% of the total market share. They will consider this where the issuer or related third party finds that such a CRA is capable of rating the relevant issuance or entity and there is such a CRA available to rate the issuance or entity in question. Where it is not possible to appoint at least one CRA with no more than 10% of the total market share, the issuer or related third party shall document this. The obligations in Article 8d are supervised and enforced at national level by sectoral competent authorities. To help issuers and related third parties carry out this evaluation, Article 8d(2) of the CRA Regulation requires ESMA to publish a list of CRAs registered in the European Union (EU) on its website every year, indicating their total market share and the types of credit ratings issued. | |||
| 28/02/2014 | 2014/205 | Call for expressions of interest: Group of Economic Advisers for ESMA’s Committee for Economic and Markets Analysis | Risk Analysis & Economics - Markets Infrastructure Investors | Reference | PDF 158.95 KB |
The European Securities and Markets Authority (ESMA) is seeking to appoint new members to its Group of Economic Advisors (GEA) for the Committee for Economic and Markets Analysis (CEMA). This follows the expiry of the term of the current GEA. CEMA has established the GEA in order to benefit from the expertise of stakeholders specialised in the topics of financial stability and general economic research related to financial markets. CEMA looks to this group to provide it with advice regarding our work related to financial stability and economic background analysis for the regulatory and supervisory tasks of ESMA. The closing date for application is 25 April 2014. Application form | |||
| 18/06/2014 | 2014/639 | Call for expressions of interest regarding the renewal of the Consultative Working Group of the ESMA Secondary Markets Standing Committee | MiFID - Secondary Markets | Reference | PDF 131.06 KB |
The European Securities and Markets Authority (ESMA) is looking to newly constitute a Consultative Working Group (CWG) for the ESMA Secondary Markets Standing Committee (SMSC) as the two-year-term of the existing CWG has recently expired. ESMA is therefore calling for expressions of interest from stakeholders to become a member of the CWG by 13 July 2014. The application form should be accompanied by a CV. The model European CV is recommended.It is optional for applicants, though recommended, to attach a letter of motivation. | |||
| 10/07/2015 | 2015/1174 | Public statement- ESMA registers modeFinance as credit rating agency | Credit Rating Agencies | Reference | PDF 107.03 KB |
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| 14/09/2015 | 2015/1291 | Risk Dashboard No. 3, 2105 | Risk Analysis & Economics - Markets Infrastructure Investors | Reference | PDF 848.31 KB |
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| 31/08/2015 | 2015/1301 reply form | Reply form to the Consultation on Draft implementing technical standards under MiFID II | MiFID - Secondary Markets | Reference | DOCX 782.52 KB |
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| 28/09/2015 | 2015/1468 | Trading venue briefing | MiFID - Secondary Markets, Press Releases | Reference | PDF 304.63 KB |
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| 28/09/2015 | 2015/1469 | 2015-1469- Investment Firms briefing | MiFID - Secondary Markets, Press Releases | Reference | PDF 314.38 KB |
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| 28/09/2015 | 2015/1470 | 2015-1470- Non-financials briefing | MiFID - Secondary Markets, Press Releases | Reference | PDF 307.12 KB |