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Date Ref. Title Section Type Download Info Summary Related Documents Translated versions
25/09/2000 00-064c The regulation of Alternative Trading Systems in Europe. A paper for the EU Commission Final Report PDF
84.28 KB
Alternative Trading Systems (ATS) offer electronic securities trading facilities outside the traditional trading channels. An expert group chaired by Howard Davies, Chairman of the UK FSA, has studied the impact of such systems in depth. The group has prepared a comprehensive report identifying and assessing the benefits and risks associated with the emergence of ATS and analysing the current regulatory treatment of such systems, within Europe and elsewhere. The report proposes both a short term and a long term option for a harmonised regulatory treatment of such systems in Europe.The paper was submitted to the European Commission as FESCO"s contribution to the preparation of the forthcoming Green Paper on possible amendments to the Investment Services Directive. The Green Paper will shortly be published as a basis for consultation with Member States, the financial services industry and other interested parties. However, the FESCO paper noted that, while the Green Paper on the ISD might be the catalyst for a far-reaching review of the regulatory approach to ATS, it would not provide a short-term solution. Accordingly, FESCO proposed that the short-term solution should take the form of a set of additional regulatory requirements for ATS operating as investment firms.FESCO will be working on proposals for what those additional regulatory requirements might be over the next six months, with a view to producing a consultation paper in the first half of 2001. This consultation paper will provide an opportunity for interested parties to comment in detail on the FESCO proposals. If, however, in the meantime interested parties have any specific comments on the possible additional regulatory requirements identified in paragraph 71 of the September paper, they should make these known to the Secretariat of FESCO via the following e-mail address: fdankers@europefesco.org
30/03/2012 2012/228 Draft technical standards on the Regulation (EU) No 236/2012 of the European Parliament and of the Council on short selling and certain aspects of credit default swaps Technical Standards PDF
1.02 MB
Regulation (EU) No 236/2012 of the European Parliament and of the Council of 14 March on short selling and certain aspects of credit default swaps (the Regulation)  requires ESMA to develop draft regulatory (RTS) and implementing technical standards (ITS) in relation to several provisions contained in Articles 9, 11, 12 and 16 of the Regulation. The draft RTS and ITS will be submitted to the European Commission by 31 March 2012. The Commission has three months to decide whether to endorse ESMAs draft technical standards. A further regulatory technical standard, on the method of calculation of the fall in value of a financial instrument required under Article 24(8) of the Regulation will be submitted together with the technical advice in the course of April 2012.
03/01/2013 2012/875 Report to the European Parliament, the Council and the Commission on the budgetary impli-cations of Regulation (EU) No 236/2012 on short selling and certain aspects of credit default swaps Final Report PDF
532.88 KB
01/02/2013 2013/158 Guidelines on the exemption for market making activities and primary market operations under Regulation (EU) 236/2012 of the European Parliament and the Council on short selling and certain aspects of Credit Default Swaps Final Report PDF
501.8 KB
19/12/2014 2014/1571 Final Report on draft Implementing Technical Standards on main indices and recognised exchanges under the Capital Requirements Regulation Technical Standards PDF
281.16 KB
The European Securities and Markets Authority (ESMA) has developed draft Implementing Technical Standards specifying main indices and recognised exchanges as required under Paragraph 8 of Article 197 of Regulation (EU) 575/2013 (Capital Requirements Regulation). These have now been submitted to the European Commission submitted for endorsement of the draft ITS.It has 3 months to make this decision.
28/09/2015 2015-ESMA-1464 Final Report- draft RTS and ITS on MIFID II and MiFIR Technical Standards PDF
2.74 MB
28/09/2015 2015-ESMA-1464 Annex I 2015-ESMA-1464 Annex I- draft RTS and ITS on MiFID II and MiFIR Technical Standards PDF
2.85 MB
28/09/2015 2015-ESMA-1464 Annex II Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR Final Report PDF
5.07 MB
11/12/2015 2015/1858 Final Report- Draft ITS under MiFID II Final Report PDF
972.8 KB
26/07/2016 2016/1171 Final Report Draft Implementing Technical Standards on sanctions and measures under MAR , Final Report PDF
929.78 KB
30/09/2016 2016/1412 Final Report on MAR Guidelines on commodity derivatives , , Final Report PDF
566.52 KB

Article 7(5) of MAR provides that the European Securities and Markets Authority (ESMA) shall issue guidelines to establish a non-exhaustive indicative list of information which is reasonably expected or is required to be disclosed in accordance with legal or regulatory provisions in Union or national law, market rules, contract, practice or custom, on the relevant commodity derivatives markets or spot markets as referred to in Article 7(1)(b) of MAR. This final report follows the Consultation Paper (CP) issued on March 2016.

Contents

Section 2 contains information on the background and mandate, while Section 3 sets out ESMA’s feedback to the CP responses in relation to the scope of the guidelines, the financial instruments and products covered by the examples of information relating directly and indirectly to commodity derivatives and information directly relating to a spot market contract. It also indicates whether and where ESMA has changed the guidelines following the consultation.

Annex I lists questions raised in the CP. Annex 2 provides the legislative mandate on the basis of which ESMA is issuing these guidelines. Annex 3 sets out ESMA’s view on the costs and benefits associated with these guidelines. Annex 4 contains the text of the guidelines.

Next steps

The guidelines in Annex 4 will be translated into the official languages of the European Union and published on the ESMA’s website. Within 2 months of the issuance of the translations, each national competent authority will have to confirm whether it complies or intends to comply with those guidelines. In the event that a national competent authority does not comply or does not intend to comply, it will have to inform ESMA, stating its reasons. ESMA will publish the fact that a national competent authority does not comply or does not intend to comply with those guidelines.

 

 

10/10/2016 2016/1451 Final Report- Guidelines on transaction reporting, order record keeping and clock synchronisation under MiFID II , Final Report PDF
388.3 KB
04/04/2016 2016/461 Final report on temporary exemption for ETDs under MiFID II Final Report PDF
619.46 KB
04/05/2016 2016/653 Final Report on RTS on reporting obligations under Article 26 of MiFIR Final Report PDF
231.35 KB
26/05/2016 2016/725 Draft RTS on indirect clearing arrangements under EMIR and MiFIR , , Final Report PDF
740.71 KB
09/04/2019 2019 19 Joint Committee Annual Report 2018 Annual Report PDF
198.17 KB
14/12/2015 EBA/Op/2015/20 Report on investment firms Final Report PDF
1.2 MB
09/03/2016 ESAs/2016/21 RTS on Risk Mitigation LegisWrite Final Report PDF
419.38 KB
09/03/2016 ESAs/2016/22 Annexes to RTS on Risk Mitigation LegisWrite Final Report PDF
297.23 KB
09/03/2016 ESAs/2016/23 Final Draft RTS on Risk Mitigation Techniques final Final Report PDF
705.82 KB

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