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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||MiFID - Secondary Markets||Final Report||PDF
|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: firstname.lastname@example.org|
|06/07/2012||2012/387||Final report Guidelines on certain aspects of the MiFID suitability requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|28/09/2015||2015-ESMA-1464 Annex II||Annex II- CBA- draft RTS and ITS on MiFID II and MiFIR||MiFID - Secondary Markets||Final Report||PDF
|11/12/2015||2015/1858||Final Report- Draft ITS under MiFID II||MiFID - Secondary Markets||Final Report||PDF
|30/09/2016||2016/1412||Final Report on MAR Guidelines on commodity derivatives||Guidelines and Technical standards, Market Abuse, Market Integrity||Final Report||PDF
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.
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.
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||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|04/04/2016||2016/461||Final report on temporary exemption for ETDs under MiFID II||MiFID - Secondary Markets||Final Report||PDF
|04/05/2016||2016/653||Final Report on RTS on reporting obligations under Article 26 of MiFIR||MiFID - Secondary Markets||Final Report||PDF
|26/05/2016||2016/725||Draft RTS on indirect clearing arrangements under EMIR and MiFIR||Guidelines and Technical standards, Post Trading, MiFID - Secondary Markets||Final Report||PDF
|03/04/2020||ESMA34-39-968||Final report- Guidelines on performance fees in UCITS and certain types of AIFs||Fund Management, Guidelines and Technical standards||Final Report||PDF
|05/06/2020||ESMA35-36-1946||Final Report Guidelines on certain aspects of the MiFID II compliance function requirements||Guidelines and Technical standards, MiFID - Investor Protection||Final Report||PDF
|06/01/2020||ESMA70-151-2703||Final Report- Guidelines on Reporting Under SFTR||Securities Financing Transactions||Final Report||PDF
|29/03/2021||ESMA70-151-2838||Guidelines on Reporting Under SFTR||Securities Financing Transactions||Final Report||PDF
|24/08/2017||ESMA70-151-552||Guidelines on transfer of data between Trade Repositories||Guidelines and Technical standards, Post Trading||Final Report||PDF
|28/09/2017||ESMA70-154-266||Guidelines on the management body of market operators and data reporting service providers||Guidelines and Technical standards, MiFID - Secondary Markets||Final Report||PDF
|17/07/2018||ESMA70-154-651||Application form- SMSC CWG Renewal 2018||MiFID - Secondary Markets||Vacancy||DOCX
|17/07/2018||ESMA70-154-652||Call for expressions of interest- SMSC CWG Renewal||MiFID - Secondary Markets||Vacancy||PDF
|23/09/2020||ESMA70-155-10272||Final Report on Cum Ex and other multiple withholding tax reclaim schemes||Market Abuse, Market Integrity, Trading||Final Report||PDF
|09/10/2019||ESMA70-156-1010||On the application of waivers and deferrals||MiFID - Secondary Markets||Annual Report||PDF
|11/06/2019||ESMA70-156-1035||Final report_Call for evidence Periodic Auctions||MiFID - Secondary Markets||Final Report||PDF