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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
22/12/2011 2011/456 Final report- Guidelines on systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities MiFID - Secondary Markets Guidelines & Recommendations PDF
407 KB

This is the final report. The guidelines along with the translations are published separately.
24/02/2012 2012/122 Guidelines- Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities Guidelines and Technical standards, MiFID - Secondary Markets Guidelines & Recommendations PDF
1006.44 KB

ESMA Board of Supervisors (the BoS) has decided on the 26 September 2018 to withdraw the guidelines on “Systems and controls in an automated trading environment for trading platforms, investment firms and competent authorities”. The guidelines were issued by ESMA, in February 2012, to ensure a common, uniform and consistent application of MiFID and MAD. The BoS decision to withdraw the guidelines is based on the subject matter being fully incorporated into MiFID II, MAR, and relevant delegated acts.

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30/01/2013 2013/159 Q&A on Implementation of the Regulation on short selling and certain aspects of credit default swaps (2nd update) Short Selling Q&A PDF
873.32 KB
02/04/2013 2013/74 Guidelines on Exemption for market making activities and primary market operations under the Short selling regulation Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
498.85 KB
02/04/2013 2013/74 BG Изключения за дейностите по поддържане на пазара и операциите на първичния пазар съгласно Регламент (ЕС) № 236/2012 на Европейския парламент и на Съвета относно късите продажби и някои аспекти на суапите за кредитно неизпълнение Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
536.67 KB
02/04/2013 2013/74 CS Výjimka pro činnosti v rámci tvorby trhu a operace na primárním trhu podle nařízení Evropského parlamentu a Rady (EU) č. 236/2012 ze dne 14. března 2012 o prodeji na krátko a některých aspektech swapů úvěrového selhání Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
516.53 KB
02/04/2013 2013/74 DA Fritagelse for market making-aktiviteter og primære markedsoperationer i henhold til Europa-Parlamentets og Rådets forordning (EU) nr. 236/2012 om short selling og visse aspekter af credit default swaps Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
491.66 KB
02/04/2013 2013/74 ET Turutegemise ja esmasturuga seotud toimingute suhtes kohaldatavad erandid vastavalt Euroopa Parlamendi ja nõukogu määrusele (EL) nr 236/2012 lühikeseks müügi ja krediidiriski vahetustehingute teatavate aspektide kohta Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
538.28 KB
02/04/2013 2013/74 FI Lyhyeksimyynnistä ja tietyistä luottoriskinvaihtosopimuksiin liittyvistä kysymyksistä annetun Euroopan parlamentin ja neuvoston asetuksen (EU) N:o 236/2012 mukaisesta markkinatakaustoimintaa ja ensimarkkinoilla suoritettavia operaatioita koskevasta poikke Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
485.25 KB
02/04/2013 2013/74 FR Exemption pour les activités de tenue de marché et les opérations de marché primaire au titre du Règlement (UE) n° 236/2012 du Parlement européen et du Conseil sur la vente à découvert et certains aspects des contrats d’échange sur risque de crédit Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
621.2 KB
02/04/2013 2013/74 EL Εξαίρεση για δραστηριότητες ειδικής διαπραγμάτευσης και πρωτογενούς αγοράς βάσει του κανονισμού (ΕΕ) αριθ. 236/2012 του Ευρωπαϊκού Κοινοβουλίου και του Συμβουλίου για τις ανοικτές πωλήσεις και ορισμένες πτυχές των συμβολαίων ανταλλαγής πιστωτικής αθέτησης Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
561.83 KB
02/04/2013 2013/74 HU A short ügyletekről és a hitel-nemteljesítési csereügyletekkel kapcsolatos egyes szempontokról szóló 236/2012/EU európai parlamenti és tanácsi rendelet szerinti árjegyzői tevékenységek és elsődleges piaci műveletek mentessége Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
550.5 KB
02/04/2013 2013/74 IT Esenzione per attività di supporto agli scambi (market making) e operazioni di mercato primario ai sensi del regolamento (UE) 236/2012 del Parlamento europeo e del Consiglio del 14 marzo 2012 relativo alle vendite allo scoperto e a taluni aspetti dei cont Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
496.67 KB
02/04/2013 2013/74 LV Atbrīvojums tirgus uzturētāja darbībām un primārā tirgus operācijām saskaņā ar Eiropas Parlamenta un Padomes Regulu (ES) Nr. 236/2012 par īso pārdošanu un dažiem kredītriska mijmaiņas darījumu aspektiem Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
771.14 KB
02/04/2013 2013/74 LT Rinkos formavimo veiklai ir operacijoms pirminėje rinkoje taikomos išimtys pagal Europos Parlamento ir Tarybos Reglamentą (ES) 236/2012 dėl skolintų vertybinių popierių pardavimo ir tam tikrų kredito įsipareigojimų neįvykdymo apsikeitimo sandorių aspektų Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
515.2 KB
02/04/2013 2013/74 MT Eżenzjoni għal attivitajiet ta’ ġenerazzjoni tas-suq u operazzjonijiet fis-suq primarju skont ir-Regolament (UE) Nru 236/2012 tal-Parlament Ewropew u tal-Kunsill Council dwar bejgħ bin-nieqes u ċerti aspetti tas-swaps ta’ inadempjenza tal-kreditu Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
551.64 KB
02/04/2013 2013/74 NL Vrijstelling voor activiteiten van marketmakers en handelingen op de primaire markt krachtens Verordening (EU) nr. 236/2012 van het Europees Parlement en de Raad betreffende short selling en bepaalde aspecten van kredietverzuimswaps Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
524.15 KB
02/04/2013 2013/74 PL Wyłączenie w przypadku działalności animatora rynku oraz działalności na rynku pierwotnym na mocy rozporządzenia Parlamentu Europejskiego i Rady (UE) nr 236/2012 w sprawie krótkiej sprzedaży i wybranych aspektów dotyczących swapów ryzyka kredytowego Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
628.33 KB
02/04/2013 2013/74 PT Isenção para as atividades de criação de mercado e as operações do mercado primário ao abrigo do Regulamento (UE) n.º 236/2012 do Parlamento Europeu e do Conselho relativo às vendas a descoberto e a certos aspetos dos swaps de risco de incumprimento Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
639.51 KB
02/04/2013 2013/74 RO Derogări pentru activităţile de formator de piaţă şi operaţiunile de pe piaţa primară conform Regulamentului (UE) nr. 236/2012 al Parlamentului European şi al Consiliului privind vânzarea în lipsă şi anumite aspecte ale swapurilor pe riscul de credit Short Selling, Guidelines and Technical standards Guidelines & Recommendations PDF
534.03 KB

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